Aza Capital Management
Registered investment adviser · Chicago, IL · CRD #109784
Form ADV data as of 2026-09-01Regulatory assets
$339.6 million
Total accounts
839
Employees
8
Disclosure events
0
Firm details
- Website: https://www.linkedin.com/company/aza-capital-management
- Telephone: 312-429-0880
- SEC file number: 801-54428
- Most recent Form ADV filing: 2026-03-18
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $334.9 million |
| Non-discretionary regulatory assets under management | $4.7 million |
| Total regulatory assets under management | $339.6 million |
| Discretionary accounts | 826 |
| Non-discretionary accounts | 13 |
| Total accounts | 839 |
| Regulatory assets under management attributable to non-U.S. persons | $5.9 million |
People
| Total employees (excluding clerical) | 8 |
| Employees performing investment advisory functions (including research) | 7 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 7 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 3 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $58.1 million |
| Clients for whom the firm has custody | 146 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $5.3 million |
| Clients for whom a related person has custody | 3 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 9 |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 226 | $73.5 million |
| High net worth individuals | 105 | $234.4 million |
| Pension and profit sharing plans (not the participants or government plans) | 8 | $27.7 million |
| Charitable organizations | Not reported | $423,764 |
| Other investment advisers | Not reported | $353,151 |
| Corporations or other businesses not listed above | 6 | $3.2 million |