AZA CAPITAL MANAGEMENT

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Michigan, United States

Employees

Total Number of Employees	9
Investment Advisory/Research	8
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	8
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	875	$305.5M
Non-Discretionary	15	$8.2M
Total	890	$313.8M

Clients

Type	Number	RAUM
Individuals	253	$89.6M
HNW Individuals	96	$190.7M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	10	$25.0M
Charitable organizations	<5	$354,655
State or municipal gov entities	0	$0
Other investment advisers	<5	$3.0M
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	6	$5.1M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUMFixed fees

Identifiers

SEC RIA File Number	801-54428
SEC ERA File Number	801-54428
SEC CIK Numbers	1334952
SEC CRD Numbers	109784
Legal Entity Identifier	None

Principal Office

141 W JACKSON BLVD
SUITE 3332
CHICAGO
IL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic