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AZA CAPITAL MANAGEMENT
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AZA CAPITAL MANAGEMENT
(CRD# 109784)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Chicago, IL.
The SEC approved the firm to operate as an RIA in
May 1997.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$203.3 Million,
and has discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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AZA CAPITAL MANAGEMENT
also reported in
Mar 2018:
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4
employees,
with
3
performing advisory functions.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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AZA CAPITAL MANAGEMENT has no disclosure events reported to the SEC at this time.
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AZA CAPITAL MANAGEMENT has Notice Filings with the following State Securities Authorities:
AZ-Jun 2016, CA-Aug 2008, DE-Mar 2016, FL-Aug 2008, IL-Aug 2008
, IN-Sep 2011, LA-Jun 2014, MI-Mar 2002, MO-Mar 2018, OH-Aug 2010
, TX-Jul 2014, WI-Apr 2010
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The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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