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RIA / WealthAdvisor12 years in industry

NICOLE ANN ENGEL

Advisor at CAZ INVESTMENTS L.P.

HOUSTON, TX

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Search this name across graphsid dfx:ria:3d130573-5f96-4e4f-6006-4ea62f5a164f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 4, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAZ INVESTMENTS L.P.
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 4, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 26, 2018
First registration: Apr 4, 2014
Dual registered: no
Other names: NICOLE ANN HUNAU
IAPD individual key: 6172054

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAZ INVESTMENTS L.P.	Asset manager	Apr 19, 2021	n/a	yes	HOUSTON, TX	Current employment
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Oct 25, 2019	Mar 23, 2021	no	Chicago, IL	Previous registration
ASTOR INVESTMENT MANAGEMENT LLC	Former SEC adviser	Nov 26, 2018	May 2, 2019	no	CHICAGO, IL	Previous registration
WILLIAM BLAIR & COMPANY L.L.C.	Bd affiliated wealth	Apr 4, 2014	May 26, 2015	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HIGHTOWER ADVISORS, LLC	CAZ INVESTMENTS L.P.	Mar 23, 2021	Apr 19, 2021	27	Firm change	Other
ASTOR INVESTMENT MANAGEMENT LLC	HIGHTOWER ADVISORS, LLC	May 2, 2019	Oct 25, 2019	176	Firm change	RIA to ibd
WILLIAM BLAIR & COMPANY L.L.C.	ASTOR INVESTMENT MANAGEMENT LLC	May 26, 2015	Nov 26, 2018	1,280	Firm change after gap	Other

Relationships

Registered with (4)

→ CAZ INVESTMENTS L.P.Registered adviserregistration: current employment
Apr 19, 2021 to presentfactForm ADV
→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 25, 2019 to Mar 23, 2021factForm ADV
→ ASTOR INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 26, 2018 to May 2, 2019factForm ADV
→ WILLIAM BLAIR & COMPANY L.L.C.Registered adviserregistration: previous registration
Apr 4, 2014 to May 26, 2015factForm ADV

Dated events

No dated event names this entity yet.