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RIA / WealthAdvisorChartered Financial Consultant41 years in industry

MICHAEL CHARLES VOGEL

Advisor at AZA CAPITAL MANAGEMENT

CHICAGO, IL | Waunakee, WI

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Search this name across graphsid dfx:ria:da11c5fa-faea-f8ea-60fb-17acee12defc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 8, 2007 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: AZA CAPITAL MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 21, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Designations: Chartered Financial Consultant
Exams: S63
First exam: Dec 21, 1984
First registration: Aug 8, 2007
Dual registered: no
Other names: MIKE VOGEL
IAPD individual key: 1300180

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
AZA CAPITAL MANAGEMENT	Independent wealth	Nov 22, 2019	n/a	yes	CHICAGO, IL\|Waunakee, WI	Current employment
ARETE WEALTH ADVISORS, LLC	Bd affiliated wealth	Oct 4, 2016	Nov 1, 2019	no	Grand Rapids, MI\|CHICAGO, IL\|Grand Rapids, MI	Previous registration
INTEROCEAN CAPITAL, LLC	Former SEC adviser	May 29, 2014	Oct 3, 2016	no	CHICAGO, IL	Previous registration
IPI WEALTH MANAGEMENT, INC.	Bd affiliated wealth	Oct 8, 2012	Apr 1, 2014	no	BEAR LAKE, MI\|DECATUR, IL	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Oct 26, 2012	no	BEAR LAKE, MI	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Aug 8, 2007	Jul 2, 2012	no	SAN DIEGO, CA\|BEAR LAKE, MI\|LIVERMORE, CA	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
ARETE WEALTH ADVISORS, LLC	AZA CAPITAL MANAGEMENT	Nov 1, 2019	Nov 22, 2019	21	Firm change	Ibd to RIA
INTEROCEAN CAPITAL, LLC	ARETE WEALTH ADVISORS, LLC	Oct 3, 2016	Oct 4, 2016	1	Firm change	Other
IPI WEALTH MANAGEMENT, INC.	INTEROCEAN CAPITAL, LLC	Apr 1, 2014	May 29, 2014	58	Firm change	Other
FIRST ALLIED ADVISORY SERVICES, INC.	IPI WEALTH MANAGEMENT, INC.	Oct 26, 2012	Oct 8, 2012	-18	Firm change	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
145488:109784:MI:2019-11-01	Nov 1, 2019	Nov 22, 2019	GRAND RAPIDS, MI	Firm change
136887:145488:IL:2016-10-03	Oct 3, 2016	Oct 4, 2016	CHICAGO, IL	Firm change

Relationships

Registered with (6)

→ AZA CAPITAL MANAGEMENTRegistered adviserregistration: current employment
Nov 22, 2019 to presentfactForm ADV
→ ARETE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 4, 2016 to Nov 1, 2019factForm ADV
→ INTEROCEAN CAPITAL, LLCRegistered adviserregistration: previous registration
May 29, 2014 to Oct 3, 2016factForm ADV
→ IPI WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 8, 2012 to Apr 1, 2014factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Oct 26, 2012factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Aug 8, 2007 to Jul 2, 2012factForm ADV

Dated events

No dated event names this entity yet.