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AZA CAPITAL MANAGEMENT

CHICAGO, IL · CRD 109784 · IAPD ↗ · 312-429-0880

$339.6MRegulatory AUM
7Advisory reps
8Employees
0Clients
1-10Planning clients
0Private funds
13States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2026 — AZA CAPITAL MANAGEMENT notice-filed in AZ, LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
July 2025 — AZA CAPITAL MANAGEMENT added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2025 — AZA CAPITAL MANAGEMENT added office(s): 1 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
68
April 2025 — AZA CAPITAL MANAGEMENT now reports custody of client assets ($281.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

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