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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

ZAZOVE ASSOCIATES LLC

CRD 104751

INCLINE VILLAGE, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b2a40f6d-dff7-a964-5311-2d72c7d70bd4

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 6
On other graphs: 0
Observed: Mar 22, 2012 to Apr 29, 2026
22 observations

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

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.14 institutional_share=0.77 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.0BItem 5.F on the latest filing (2026-04-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21
Advisory employees: 11
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 72
Individual clients: 0
High net worth clients: 0
Private funds: 5Schedule D 7.B(1)
Custody, client assets: $183M
SEC number: 801-34818
CIK: 1009012
CRD: 104751
Filings on the tape: 22
First filed: Mar 22, 2012
Latest filed: Apr 29, 2026
Organised: Limited Liability Company, DE

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ZAZOVE HEDGED CONVERTIBLE FUND, L.P.	Hedge Fund	$133M	Apr 29, 2024	9	Mar 17, 2020	reported	021-341956
ZAZOVE HEDGED CONVERTIBLE FUND, L.P.	Hedge Fund	$117M	Mar 14, 2013	22	Mar 22, 2012	dropped	021-128772
ZAZOVE INVESTMENT GRADE BLEND CONVERTIBLE FUND, L.P.	Hedge Fund	$49.4M	Apr 29, 2024	3	Mar 22, 2012	reported	021-80776
ZAZOVE AGGRESSIVE GROWTH FUND, L.P.	Hedge Fund	$42.9M	Apr 29, 2024	12	Mar 22, 2012	reported	021-121098
ZAZOVE CONVERTIBLE SECURITIES FUND, L.P.	Hedge Fund	$41.7M	Apr 29, 2024	64	Mar 22, 2023	reported	021-459712
ZAZOVE GLOBAL CONVERTIBLE MASTER FUND, L.P.	Hedge Fund	$19.1M	Apr 29, 2024	19	Mar 22, 2012	reported	021-934758
ZAZOVE HIGH YIELD CONVERTIBLE SECURITIES FUND, L.P.	Hedge Fund	$7.4M	Feb 16, 2022	9	Mar 22, 2012	dropped	021-119015

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
PRETTI, GENE, THOMAS	PRESIDENT; CHAIRMAN	E	yes	03/1989	Mar 22, 2012	Apr 29, 2024
PRETTI, GENE, THOMAS	CHIEF EXECUTIVE OFFICER; MEMBER	Na	yes	01/1995	Mar 22, 2012	Apr 29, 2024
Shelby, Robert, Ryan	MANAGING PARTNER/MEMBER	B	yes	01/2023	Mar 22, 2023	Apr 29, 2024
ZAZOVE ASSOCIATES, INC.	MANAGING MEMBER	E	yes	01/1995	Mar 22, 2012	Apr 29, 2024
GINOCCHIO, SAMUEL, NELLIS	CHIEF COMPLIANCE OFFICER	Na	no	01/2023	Mar 22, 2023	Apr 29, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 29, 2026	$2.0B	$2.0B	21	11	0	5	n/a
2024	Mar 28, 2025	$2.1B	$2.1B	22	11	0	5	n/a
2023	Mar 26, 2024	$2.3B	$2.3B	25	12	0	5	$286M
2022	Mar 22, 2023	$2.3B	$2.3B	25	12	0	5	$305M
2021	Feb 16, 2022	$2.5B	$2.5B	24	12	1	5	$248M
2020	Mar 12, 2021	$2.3B	$2.3B	25	13	1	5	$226M
2019	Mar 17, 2020	$2.4B	$2.4B	25	13	1	5	$186M
2018	Mar 12, 2019	$2.3B	$2.3B	25	13	1	4	$78.6M
2017	Mar 27, 2018	$3.2B	$3.2B	24	9	1	4	$96.4M
2016	Mar 7, 2017	$3.1B	$3.1B	24	9	n/a	4	$108M
2015	Feb 24, 2016	$3.5B	$3.5B	26	9	n/a	4	$131M
2014	Feb 23, 2015	$4.7B	$4.7B	27	10	n/a	4	$237M
2013	Feb 13, 2014	$5.1B	$5.1B	27	9	n/a	4	$214M
2012	Mar 14, 2013	$5.9B	$5.9B	28	9	n/a	5	$312M
2011	Mar 22, 2012	$5.7B	$5.7B	n/a	n/a	n/a	5	$245M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.0B	$2.1B	-5.1%	$2.3B	-4.8%	21	22	0	0

Relationships

Advises (7)

→ ZAZOVE GLOBAL CONVERTIBLE MASTER FUND, L.P.Private fundHedge Fund, IA
Mar 22, 2012 to presentfactForm ADV
→ ZAZOVE CONVERTIBLE SECURITIES FUND, L.P.Private fundHedge Fund, IA
Mar 22, 2023 to presentfactForm ADV
→ ZAZOVE AGGRESSIVE GROWTH FUND, L.P.Private fundHedge Fund, IA
Mar 22, 2012 to presentfactForm ADV
→ ZAZOVE INVESTMENT GRADE BLEND CONVERTIBLE FUND, L.P.Private fundHedge Fund, IA
Mar 22, 2012 to presentfactForm ADV
→ ZAZOVE HEDGED CONVERTIBLE FUND, L.P.Private fundHedge Fund, IA
Mar 17, 2020 to presentfactForm ADV
→ ZAZOVE HIGH YIELD CONVERTIBLE SECURITIES FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Feb 16, 2022factForm ADV
→ ZAZOVE HEDGED CONVERTIBLE FUND, L.P.Private fundHedge Fund, IA, no longer reported
Mar 22, 2012 to Mar 14, 2013factForm ADV

Controls (3)

← PRETTI, GENE, THOMASOwnerPRESIDENT; CHAIRMAN, ownership code E, individual
Mar 22, 2012 to Apr 29, 2024factForm ADV
← Shelby, Robert, RyanOwnerMANAGING PARTNER/MEMBER, ownership code B, individual
Mar 22, 2023 to Apr 29, 2024factForm ADV
← ZAZOVE ASSOCIATES, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 22, 2012 to Apr 29, 2024factForm ADV

Owns (1)

← GINOCCHIO, SAMUEL, NELLISOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 22, 2023 to Apr 29, 2024factForm ADV

Dated events

Occurred
Mar 22, 2023
Control person joined
Ryan Robert Shelby (Managing Partner/Member) appeared on Schedule A of Zazove Associates Llc
Form ADVobserved 4 days ago
Occurred
Mar 22, 2023
Control person left
Michael Steven Kleiman (Chief Compliance Officer; Executive Partner; General Counsel) no longer on Schedule A of Zazove Associates Llc (listed 2022-02-16, absent 2023-03-22)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2023
Control person left
Bertrand Christopher Cook (Portfolio Manager) no longer on Schedule A of Zazove Associates Llc (listed 2022-02-16, absent 2023-03-22)
Form ADVobserved 4 days ago
Occurred
Jul 20, 2021
Control person left
David Stephen Bard (Chief Operating Officer) no longer on Schedule A of Zazove Associates Llc (listed 2021-03-12, absent 2021-07-20)
Form ADVobserved 4 days ago
Occurred
Mar 12, 2019
Regulatory AUM changed
Zazove Associates Llc reported RAUM $2.3B, down 27% from $3.2B (2018-03-27 to 2019-03-12)
Form ADVobserved 4 days ago
$-865M
Occurred
Mar 12, 2019
Control person joined
David Stephen Bard (Chief Operating Officer) appeared on Schedule A of Zazove Associates Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2a40f6d-dff7-a964-5311-2d72c7d70bd4
First observed: Mar 22, 2012
Last observed: Apr 29, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ZAZOVE ASSOCIATES LLC

CRD 104751

INCLINE VILLAGE, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b2a40f6d-dff7-a964-5311-2d72c7d70bd4

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:52 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ZAZOVE HEDGED CONVERTIBLE FUND, L.P.

Hedge Fund

$133M

Apr 29, 2024

Mar 17, 2020

reported

021-341956

ZAZOVE HEDGED CONVERTIBLE FUND, L.P.

Hedge Fund

$117M

Mar 14, 2013

Mar 22, 2012

dropped

021-128772

ZAZOVE INVESTMENT GRADE BLEND CONVERTIBLE FUND, L.P.

Hedge Fund

$49.4M

Apr 29, 2024

Mar 22, 2012

reported

021-80776

ZAZOVE AGGRESSIVE GROWTH FUND, L.P.

Hedge Fund

$42.9M

Apr 29, 2024

Mar 22, 2012

reported

021-121098

ZAZOVE CONVERTIBLE SECURITIES FUND, L.P.

Hedge Fund

$41.7M

Apr 29, 2024

Mar 22, 2023

reported

021-459712

ZAZOVE GLOBAL CONVERTIBLE MASTER FUND, L.P.

Hedge Fund

$19.1M

Apr 29, 2024

Mar 22, 2012

reported

021-934758

ZAZOVE HIGH YIELD CONVERTIBLE SECURITIES FUND, L.P.

Hedge Fund

$7.4M

Feb 16, 2022

Mar 22, 2012

dropped

021-119015

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PRETTI, GENE, THOMAS

PRESIDENT; CHAIRMAN

yes

03/1989

Mar 22, 2012

Apr 29, 2024

PRETTI, GENE, THOMAS

CHIEF EXECUTIVE OFFICER; MEMBER

yes

01/1995

Mar 22, 2012

Apr 29, 2024

Shelby, Robert, Ryan

MANAGING PARTNER/MEMBER

yes

01/2023

Mar 22, 2023

Apr 29, 2024

ZAZOVE ASSOCIATES, INC.

MANAGING MEMBER

yes

01/1995

Mar 22, 2012

Apr 29, 2024

GINOCCHIO, SAMUEL, NELLIS

CHIEF COMPLIANCE OFFICER

01/2023

Mar 22, 2023

Apr 29, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 29, 2026

$2.0B

n/a

2024

Mar 28, 2025

$2.1B

n/a

2023

Mar 26, 2024

$2.3B

$286M

2022

Mar 22, 2023

$2.3B

$305M

2021

Feb 16, 2022

$2.5B

$248M

2020

Mar 12, 2021

$2.3B

$226M

2019

Mar 17, 2020

$2.4B

$186M

2018

Mar 12, 2019

$2.3B

$78.6M

2017

Mar 27, 2018

$3.2B

$96.4M

2016

Mar 7, 2017

$3.1B

n/a

$108M

2015

Feb 24, 2016

$3.5B

n/a

$131M

2014

Feb 23, 2015

$4.7B

n/a

$237M

2013

Feb 13, 2014

$5.1B

n/a

$214M

2012

Mar 14, 2013

$5.9B

n/a

$312M

2011

Mar 22, 2012

$5.7B

n/a

$245M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.0B

$2.1B

-5.1%

$2.3B

-4.8%