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BERNZOTT CAPITAL ADVISORS

CAMARILLO, CA · CRD 104583 · IAPD ↗ · bernzott.com · 800-856-2646

$265.4MRegulatory AUM
2Advisory reps
3Employees
0Clients
n/aPlanning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — BERNZOTT CAPITAL ADVISORS notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2026 — BERNZOTT CAPITAL ADVISORS now reports custody of client assets ($53.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
48
April 2024 — BERNZOTT CAPITAL ADVISORS reported RAUM down 54% ($682.0M -> $311.1M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
53
February 2024 — BERNZOTT CAPITAL ADVISORS shrank from 5 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.