AZA CAPITAL MANAGEMENT

RIASEC RegisteredEst. 1997
Total AUM
$340M
Discretionary
$335M
99% of AUM
Avg account
$405K
Accounts
839
Employees
8
Advisory reps
7

Firm details

Headquarters
CHICAGO, Illinois
CRD number
109784
Registered since
May 12, 1997
Website
www.azacapital.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI69.03%
  • Individuals21.64%
  • Pension & Profit Sharing Plans8.16%
  • Corporations / Businesses0.94%
  • Charitable Organizations0.12%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

AZA Capital Management is an independent, SEC-registered advisory firm founded in 1997 and owned by an individual principal. The firm serves both individual and family clients as well as institutional customers, offering financial planning and portfolio management for individuals, small businesses, and institutions. Compensation is a mix of asset-based fees and fixed fees. AZA reports that it is not a capital allocator, does not position itself as an active ESG investor, and is not classified as a multi-state adviser in its filings.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 57%, Exchange Traded Equities 13%, Cash & Cash Equivalents 12%, State & Local Bonds 9%, US Government Bonds 5%, Non-Exchange Traded Equities 1%, Investment Grade Corp Bonds 1%, Derivatives 1%, Private Funds 1%57%
  • Public Funds/Mutual Funds57%
  • Exchange Traded Equities13%
  • Cash & Cash Equivalents12%
  • State & Local Bonds9%
  • US Government Bonds5%

Owners & executives

1 of 1

  • CHRISTOPHER RECKER

    Partner, Chief Investment OfficerCRD 4589014

Contacts

3 of 6

  • MICHAEL LAFONTAINE

    Partner & OfficerCRD 5142908

  • JEFFREY KEEN

    Partner, PresidentCRD 5719741

  • ROSS BLAUWKAMP

    Portfolio ManagerCRD 2835778

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 44

Active vs passive

$201M in ETFs

Passive

99%

$198M

Active

1%

$2.2M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD SHORT-TERM TREASURY INDEX FUND (VGSH)VanguardPassiveShort Government$49.8M851,44324.86%
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Location

Primary office

CHICAGO, IL

COOK

Location

CHICAGO, IL

Headquartered in CHICAGO, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
COOK
Address
141 W Jackson Blvd
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth