DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Caz Investments L.P.
Latest filing Mar 31, 2026
First filing on the tape Mar 8, 2012 · 25 filings
SEC status approved since Sep 27, 2001
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
$401M
derived; firm RAUM over IAPD count
Employees
83
68 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
107
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$11B as of Mar 31, 2026
Mar 8, 2012$300M then
HNW client RAUM$2.6M as of Mar 27, 2024
Jan 24, 2018$40.7M then
State-registered IARs (5.B.3)22 as of Mar 31, 2026
Mar 27, 20136 then
Employees (5.A)83 as of Mar 31, 2026
Mar 27, 20138 then
Private funds107 as of Mar 31, 2026
Mar 8, 201211 then
RAUM +25% over the last fiscal year+29% a year over threeIARs 27 to 22offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $401MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $798,580derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.1derivedItem 5.A over advisors
- Advisors per office
- 27.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -19%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$11B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13,562reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
27 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Alan Zook | Houston, Tx | Aug 16, 2001 | 35 y | 2 |
| Matthew James Lindholm | Houston, Tx | Apr 16, 2015 | 12 y | 0 |
| Lucia Y Hwang | Houston, Tx | Apr 16, 2015 | 23 y | 0 |
| Clark D Edlund | Houston, Tx | Feb 25, 2016 | 20 y | 5 |
| Mark Charles Wade | Houston, Tx | Jul 28, 2016 | 10 y | 0 |
| William Ralph Van Buren IV | Houston, Tx | Nov 19, 2019 | 10 y | 0 |
| Patricia Ann Burns | Houston, Tx | Jul 13, 2020 | 33 y | 0 |
| Nicole Ann Engel | Houston, Tx | Apr 19, 2021 | 12 y | 3 |
| Emily Ann Buretz | Houston, Tx | Jun 9, 2021 | 10 y | 0 |
| Ricardo Perusquia | Houston, Tx | Jun 18, 2021 | 11 y | 1 |
| Jarrett Billington Bell | Houston, Tx | Jul 14, 2021 | 18 y | 3 |
| Heather Ayres | Houston, Tx | Oct 8, 2021 | 19 y | 2 |
| Ian Brown-ChristensonCertified Financial Planner | Houston, Tx | Dec 21, 2021 | 12 y | 1 |
| Charles William ZellerChartered Financial Analyst | Houston, Tx | Sep 28, 2022 | 12 y | 0 |
| Paul Henry Rush | Houston, Tx | Nov 30, 2023 | 12 y | 0 |
| Spencer William Woolfolk | Houston, Tx | Apr 15, 2024 | 13 y | 2 |
| Michael John O'Keefe | Houston, Tx | May 16, 2024 | 10 y | 0 |
| Brenton Alexander Finan | Houston, Tx | Jun 7, 2024 | 14 y | 0 |
| Harvey Patrick Steele | Houston, Tx | Jul 13, 2024 | 21 y | 3 |
| Ryan Wallace Moritz | Houston, Tx | Oct 10, 2024 | 10 y | 0 |
| Anthony Marco Gaudiosi | Houston, Tx | Jan 9, 2025 | 23 y | 3 |
| David Scott Hescheles | Houston, Tx | Jan 30, 2025 | 31 y | 2 |
| Preston Wyatt Heard | Houston, Tx | Apr 10, 2025 | 10 y | 0 |
| Alexandra Dee Angove | Houston, Tx | Jul 10, 2025 | 11 y | 0 |
| Jacob Paul Mercier | Houston, Tx | Jan 4, 2026 | 12 y | 1 |
| Brandon Luckett | Houston, Tx | Jan 29, 2026 | 10 y | 3 |
| Kieran Patrick Arrigan | Houston, Tx | May 29, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Matthew Jon Adams to Capital Creek PartnersNov 18, 2024 · Other
- Scott Thomas Honig to Capital Creek PartnersOct 18, 2024 · Other
- David Patterson Sawyer to Legacy Knight Mfo, LLCAug 5, 2020 · Other
- Joseph Jerome Ceasar to Investors Of The Kingdom LLCJul 6, 2015 · Other
- James Casey Hodges to Legacy Asset Management, Inc.Feb 18, 2014 · Other
- Matthew Joseph Leaumont to Bok Financial AdvisorsApr 17, 2012 · Other
- Christopher Tobin Mcmillin to Scott & Selber, Inc. Capital ManagementSep 14, 2009 · Other
- Kathryn Ella Hayden to UBS Financial Services Inc.May 26, 2009 · Other
- Matthew Luke Kissinger to Wells Fargo Investments, LLCApr 28, 2005 · Other
- Steven Cline Gammage to Windward Partners, L.L.C.Apr 28, 2005 · Other
Joined, latest
- Brandon Luckett from Cnl Educational Institute, LLCJan 29, 2026 · Other
- Jacob Paul Mercier from F L Putnam Investment Management Co.Jan 4, 2026 · Other
- David Scott Hescheles from Hartford FundsJan 30, 2025 · Other
- Anthony Marco Gaudiosi from New York Life Investment Management LLCJan 9, 2025 · Other
- Harvey Patrick Steele from Westwood Management CorpJul 13, 2024 · Other
- Spencer William Woolfolk from LPL Financial LLCApr 15, 2024 · Other
- Scott Thomas Honig from Crestone Asset Management LLCJan 12, 2023 · Other
- Ian Brown-Christenson from UBS Financial Services Inc.Dec 21, 2021 · Other
- Heather Ayres from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 8, 2021 · Other
- Jarrett Billington Bell from Invesco Advisers, Inc.Jul 14, 2021 · Other
- Ricardo Perusquia from Dimensional Fund Advisors LPJun 18, 2021 · Other
- Nicole Ann Engel from Hightower Advisors, LLCApr 19, 2021 · Other
- Clark D Edlund from Zt Wealth AdvisoryFeb 25, 2016 · Other
- Joseph Jerome Ceasar from Inroads Capital Management LLCSep 22, 2011 · Other
- Matthew Joseph Leaumont from Morgan StanleyApr 20, 2011 · Other
Private funds
105 reported on Schedule D 7.B.(1)
All funds of Caz Investments L.P.
Owners and control persons
Schedule A and B, latest filing
- Luke Isaiah Massey · Chief Compliance Officer/Chief Financial Officercontrolsince 06/2014 · owns less than 5%
- Alan Christopher Zook · Chairman/Chief Investment Officercontrolsince 08/2001 · owns less than 5%
- Alan Christopher Zook · Ownercontrolsince 02/1998 · owns 50% to 75% of Yahweh Holdings Ltd
- Alan Christopher Zook · Ownercontrolsince 05/2021 · owns 75% or more of Caz Investments 2021 Gp LLC
- Labrant Lisa Zook · Ownercontrolsince 02/1998 · owns 50% to 75% of Yahweh Holdings Ltd
Entity owners
- Caz Investments 2021 LP · Limited Partnerdirect · owns 75% or more
- Caz Investments Management LLC · General Partnerdirect · owns less than 5%
- Caz Investments 2021 Gp LLC · General Partnerindirect · owns F of Caz Investments 2021 LP
- Caz Investments 2021 LP · General Partnerindirect · owns F of Caz Investments Management LLC
- Yahweh Holdings Ltd · Limited Partnerindirect · owns 25% to 50% of Caz Investments 2021 LP
Related persons
Schedule D 7.A
- Caz Investments Equity Ai LPpooled vehicle sponsorn
- Caz Investments Equity Bb LPpooled vehicle sponsorn
- Caz Investments Equity Cio LPpooled vehicle sponsorn
- Caz Investments Equity Cpf LPpooled vehicle sponsorn
- Caz Investments Equity Ddf LPpooled vehicle sponsorn
- Caz Investments Equity Do LPpooled vehicle sponsorn
- Caz Investments Equity Dpi LPpooled vehicle sponsorn
- Caz Investments Equity Dtf LPpooled vehicle sponsorn
- Caz Investments Equity Ee LPpooled vehicle sponsorn
- Caz Investments Equity Ei3 LPpooled vehicle sponsorn
- Caz Investments Equity Ei4 LPpooled vehicle sponsorn
- Caz Investments Equity Es LPpooled vehicle sponsorn
- Caz Investments Equity Eso LPpooled vehicle sponsorn
- Caz Investments Equity Gpo LPpooled vehicle sponsorn
- Caz Investments Equity Hci LPpooled vehicle sponsorn
- Caz Investments Equity Hci2 LPpooled vehicle sponsorn
- Caz Investments Equity Hso LPpooled vehicle sponsorn
- Caz Investments Equity Icon LPpooled vehicle sponsorn
- Caz Investments Equity II, L.P.pooled vehicle sponsorn
- Caz Investments Equity Mrf2 LPpooled vehicle sponsorn
- Caz Investments Equity Mrf3 LPpooled vehicle sponsorn
- Caz Investments Equity Mwp LPpooled vehicle sponsorn
- Caz Investments Equity Ogp LPpooled vehicle sponsorn
- Caz Investments Equity Pe LPpooled vehicle sponsorn
- Caz Investments Equity Pea2 LPpooled vehicle sponsorn
- Caz Investments Equity Peo LPpooled vehicle sponsorn
- Caz Investments Equity Peo2 LPpooled vehicle sponsorn
- Caz Investments Equity Peo3 LPpooled vehicle sponsorn
- Caz Investments Equity Peob2 LPpooled vehicle sponsorn
- Caz Investments Equity Peod5 LPpooled vehicle sponsorn
Advisers that list Caz Investments L.P. as a related person
- 327614 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 27 | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO4 employees
What changed
consecutive filings, newest first
- Accounts · 10,613 to 13,562Mar 27, 2025 to Mar 31, 2026
- Advisory employees · 56 to 68Mar 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 94 to 103Mar 27, 2025 to Mar 31, 2026
- Employees · 63 to 83Mar 27, 2025 to Mar 31, 2026
- State-registered IARs · 27 to 22Mar 27, 2025 to Mar 31, 2026
- Other offices · 1 to 0Mar 27, 2025 to Mar 31, 2026
- Private funds · 99 to 107Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $8.7B to $11BMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.7B to $11BMar 27, 2025 to Mar 31, 2026
- RAUM · $8.7B to $11BMar 27, 2025 to Mar 31, 2026
- Accounts · 8,044 to 10,613Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 46 to 56Mar 27, 2024 to Mar 27, 2025
- Advisory activities · 4 to 2Mar 27, 2024 to Mar 27, 2025
- HNW clients · 1.0 to unsetMar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 83 to 94Mar 27, 2024 to Mar 27, 2025
- Employees · 48 to 63Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- State-registered IARs · 24 to 27Mar 27, 2024 to Mar 27, 2025
- Private funds · 85 to 99Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $6.4B to $8.7BMar 27, 2024 to Mar 27, 2025
- HNW RAUM · 2636756.0 to unsetMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $6.4B to $8.7BMar 27, 2024 to Mar 27, 2025
- RAUM · $6.4B to $8.7BMar 27, 2024 to Mar 27, 2025
- Accounts · 6,897 to 8,044Sep 29, 2023 to Mar 27, 2024
- Advisory employees · 28 to 46Sep 29, 2023 to Mar 27, 2024
- Pooled vehicle clients · 78 to 83Sep 29, 2023 to Mar 27, 2024
- Employees · 33 to 48Sep 29, 2023 to Mar 27, 2024
- State-registered IARs · 22 to 24Sep 29, 2023 to Mar 27, 2024
- Other offices · 0 to 1Sep 29, 2023 to Mar 27, 2024
- Private funds · 81 to 85Sep 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $5.0B to $6.4BSep 29, 2023 to Mar 27, 2024
- HNW RAUM · $2.3M to $2.6MSep 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $5.0B to $6.4BSep 29, 2023 to Mar 27, 2024
- RAUM · $5.0B to $6.4BSep 29, 2023 to Mar 27, 2024
- Related adviser · false to trueMar 29, 2023 to Sep 29, 2023
- Accounts · 6,047 to 6,897Mar 9, 2022 to Mar 29, 2023
- Advisory employees · 16 to 28Mar 9, 2022 to Mar 29, 2023
- Pooled vehicle clients · 61 to 78Mar 9, 2022 to Mar 29, 2023
- Employees · 28 to 33Mar 9, 2022 to Mar 29, 2023
- State-registered IARs · 20 to 22Mar 9, 2022 to Mar 29, 2023
Signals
12 dated events
- Caz Investments L.P. reported RAUM $10.8B, up 25% from $8.7B (2025-03-27 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Caz Investments L.P. reported RAUM $8.7B, up 35% from $6.4B (2024-03-27 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Matthew Jon Adams left Caz Investments L.P. for Capital Creek Partners (registered 2026-06-03)Nov 18, 2024 · Advisor changed firm · fact
- Scott Thomas Honig left Caz Investments L.P. for Capital Creek Partners (registered 2026-04-15)Oct 18, 2024 · Advisor changed firm · fact
- Caz Investments L.P. reported RAUM $6.4B, up 28% from $5.0B (2023-09-29 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Caz Investments L.P. reported RAUM $5.0B, up 79% from $2.8B (2022-03-09 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Caz Investments L.P. reported RAUM $2.8B, up 43% from $2.0B (2021-06-08 to 2022-03-09)Mar 9, 2022 · RAUM change · derived
- Caz Investments L.P. reported 20 state-registered advisory representatives, up from 9 (2021-06-08 to 2022-03-09)Mar 9, 2022 · Advisor headcount change · derived
- Lisa Zook (Owner) appeared on Schedule A of Caz Investments L.P.May 27, 2021 · Control person joined · fact
- Caz Investments L.P. reported RAUM $2.0B, up 35% from $1.5B (2020-10-14 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- Caz Investments L.P. reported RAUM $1.2B, up 29% from $956.1M (2018-01-24 to 2019-01-24)Jan 24, 2019 · RAUM change · derived
- Caz Investments L.P. reported RAUM $956.1M, up 67% from $571.4M (2017-02-10 to 2018-01-24)Jan 24, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Caz Investments L.P. · Independent Sponsorsshared crd · capital_provider
- CAZ Investments L.P. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 713-403-8250reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-726-4263reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/caz-investments-lp/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- cazinvestments.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 713-403-8250reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- cazinvestments.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cazinvestments.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $401Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Caz Investments L.P. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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