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 Registered Adviser LLC
Latest filing Mar 11, 2026
First filing on the tape Aug 22, 2023 · 6 filings
SEC status approved since Sep 21, 2023
RAUM
$541M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$541M
derived; firm RAUM over IAPD count
Employees
83
68 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$541M as of Mar 11, 2026
Mar 15, 2024$53.0M then
HNW client RAUM$0 as of Mar 11, 2026
Mar 15, 2024$0 then
State-registered IARs (5.B.3)22 as of Mar 11, 2026
Mar 15, 202430 then
Employees (5.A)83 as of Mar 11, 2026
Mar 15, 202445 then
Private funds: no history
RAUM +201% over the last fiscal yearIARs 27 to 22
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $541MderivedRAUM 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
- $541MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 83.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +201%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$541M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Christopher Alan Zook from Inroads Capital Management LLCNov 16, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Luke Isaiah Massey · Chief Financial Officercontrolsince 06/2023 · owns less than 5%
- Alan Christopher Zook · Chairman, Chief Investment Officercontrolsince 06/2023 · 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
- Tyler Justin Long · Chief Compliance Officersince 02/2024 · owns less than 5%
Entity owners
- Caz Investments L.P. · Memberdirect · owns 75% or more
- Caz Investments 2021 Gp LLC · General Partnerindirect · owns F of Caz Investments 2021 LP
- Caz Investments 2021 LP · Sole Memberindirect · owns 75% or more of Caz Investments Management LLC
- Caz Investments 2021 LP · Limited Partnerindirect · owns 75% or more of Caz Investments L.P.
- Caz Investments Management LLC · General Partnerindirect · owns F of Caz Investments L.P.
- Yahweh Holdings Ltd · Limited Partnerindirect · owns 25% to 50% of Caz Investments 2021 LP
Related persons
Schedule D 7.A
- Caz Equity Investments Holdings LPpooled vehicle sponsorn
- Caz Investments Equity Ai LPpooled vehicle sponsorn
- Caz Investments Equity Bb LPpooled vehicle sponsorn
- Caz Investments Equity Cco 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 Ea LPpooled vehicle sponsorn
- Caz Investments Equity Ee LPpooled vehicle sponsorn
- Caz Investments Equity Ei1 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
Advisers that list Caz Investments Registered Adviser LLC as a related person
- 113931 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 11, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-27, no on the filing of 2026-03-11peers: asset managers, $500M to $1B (783)
- RAUM up 50 %Change between filings · filing Mar 11, 2026RAUM (Item 5.F) moved from $179,854,298 to $540,556,877 (+201.0%) between the annual amendments of 2025-03-27 and 2026-03-11; the peer median change was +8.0% (673 comparable advisers, 98.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 56 to 68Mar 27, 2025 to Mar 11, 2026
- Employees · 63 to 83Mar 27, 2025 to Mar 11, 2026
- State-registered IARs · 27 to 22Mar 27, 2025 to Mar 11, 2026
- Discretionary RAUM · $180M to $541MMar 27, 2025 to Mar 11, 2026
- RAUM · $180M to $541MMar 27, 2025 to Mar 11, 2026
- Related bank · true to falseMar 27, 2025 to Mar 11, 2026
- Advisory employees · 34 to 56Jun 3, 2024 to Mar 27, 2025
- Employees · 45 to 63Jun 3, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 3, 2024 to Mar 27, 2025
- State-registered IARs · 30 to 27Jun 3, 2024 to Mar 27, 2025
- Discretionary RAUM · $53.0M to $180MJun 3, 2024 to Mar 27, 2025
- RAUM · $53.0M to $180MJun 3, 2024 to Mar 27, 2025
- Accounts · 0 to 1Sep 28, 2023 to Mar 15, 2024
- Business name · CAZ HOLY GRAIL ADVISER LLC to CAZ INVESTMENTS REGISTERED ADVISER LLCSep 28, 2023 to Mar 15, 2024
- Discretionary RAUM · $0 to $53.0MSep 28, 2023 to Mar 15, 2024
- RAUM · $0 to $53.0MSep 28, 2023 to Mar 15, 2024
- Legal name · CAZ HOLY GRAIL ADVISER LLC to CAZ INVESTMENTS REGISTERED ADVISER LLCAug 22, 2023 to Sep 28, 2023
Signals
4 dated events
- Caz Investments Registered Adviser Llc reported RAUM $540.6M, up 201% from $179.9M (2025-03-27 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
- Caz Investments Registered Adviser Llc reported RAUM $179.9M, up 239% from $53.0M (2024-06-03 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Tyler Justin Long (Chief Compliance Officer) appeared on Schedule A of Caz Investments Registered Adviser LlcMar 15, 2024 · Control person joined · fact
- Caz Holy Grail Adviser Llc filed its initial SEC registration (Form ADV)Aug 22, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 713-403-8250reportedpublic record, Form ADV, Mar 11, 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
- $541Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026