Caz Investments Registered Adviser LLC

CRD#327614
Investment Advisor Firm

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Learn more about Caz Investments Registered Adviser LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Caz Investments Registered Adviser LLC is located at One Riverway, Houston, TX. The firm employs 56 financial advisors to manage client portfolios and provide financial guidance. Caz Investments Registered Adviser LLC is not a registered broker-dealer.

    The firm oversees $179.9 million in assets under management across 1 account, which is discretionary. Services offered include portfolio management for investment companies. The firm maintains an affiliation as a commodity pool advisor and operates on an asset-based fee structure. The primary type of investors served are investment companies, which also represent the largest client type by accounts.

    Caz Investments Registered Adviser LLC is registered in the state of Texas.

    Assets Under Management

    $179.9 million

    Number of Advisors

    56

    Disclosures

    No

    Office Location

    One Riverway
    Houston, TX 77056

    Caz Investments Registered Adviser LLC by the Numbers

    Total Assets Under Management

    $179.9 million

    National Average: $8.6 billion
    Total Number of Employees

    63

    National Average: 64
    Total Number of Accounts

    1

    National Average: 375,227
    Average Account Size

    $179.9 million

    National Average: $23.0 thousand
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    Fee Structure

    A financial advisor's fees largely are based on which services the firm provides the client. However, fees charged by Caz Investments Registered Adviser LLC typically consist of the following fee structure: asset-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by Caz Investments Registered Adviser LLC. Caz Investments Registered Adviser LLC can withdraw its charges directly from customer funds.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company provides services to investment companies. Caz Investments Registered Adviser LLC's largest client group by number of accounts is investment companies. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 0%
    • Corporations - 100%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Caz Investments Registered Adviser LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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