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CAPZONE MANAGEMENT LLC

NORWALK, CT · CRD 330135 · IAPD ↗ · capzoneimpactinvestments.com · 203-299-2376

$201.6MRegulatory AUM
9Advisory reps
24Employees
0Clients
0Planning clients
1Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

52
April 2026 — CAPZONE MANAGEMENT LLC grew from 7 to 9 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — CAPZONE MANAGEMENT LLC grew from 2 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
October 2024 — CAPZONE MANAGEMENT LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
80
May 2024 — CAPZONE MANAGEMENT LLC (NORWALK, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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