AdvisorGrade
Fee-basedFiduciaryNo reported disclosuresRegionalInternational

Aza Capital Management

Aza Capital Management is a fee-based, SEC-registered investment adviser in Chicago, Illinois, registered with the SEC since 1997, managing approximately $340M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #109784 · SEC #801-54428 · SEC-registered since 1997 (29 yrs) · Last filing data January 1, 2026

AUM
$340M

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
8

7 advisers

Assets per adviser

$49Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm is more adviser-heavy (fewer assets per adviser).

Overview

AI-generated summary

Aza Capital Management is a fee-based, SEC-registered investment adviser based in Chicago, Illinois. It reported approximately $340M in regulatory assets under management on its most recent Form ADV. The firm reported no disclosures on its most recent Form ADV filing.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
109784
SEC #
801-54428
Headquarters
Chicago, IL
Employees
8

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$340M
Assets under management by year
YearReported AUM
2026$340M

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

Aza Capital Management reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

Frequently asked questions

Is Aza Capital Management a fiduciary?+

Yes. Aza Capital Management is an SEC-registered investment adviser (CRD #109784), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Aza Capital Management compensated?+

Aza Capital Management reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Aza Capital Management manage?+

Aza Capital Management reported approximately $340M in regulatory assets under management as of its most recent Form ADV filing.

Does Aza Capital Management have any disclosures?+

Aza Capital Management reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Aza Capital Management has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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