NBZ INVESTMENT ADVISORS, LLC
Adviser information for NBZ INVESTMENT ADVISORS, LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Tennessee, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 447 | $322.4M |
| Non-Discretionary | 0 | $0 |
| Total | 447 | $322.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $29.0M |
| HNW Individuals | 89 | $289.5M |
| 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 | <5 | $4.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesCONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-62087 |
|---|---|
| SEC ERA File Number | 801-62087 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123902 |
| Legal Entity Identifier | None |
Principal Office
6322 DEANE HILL DRIVEKNOXVILLE
TN
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 865.584.1184, Fax: 865.558.6192
Websites
Chief Compliance Officer
RICHARD I. ZIVI, JR.
MANAGING MEMBER
6322 DEANE HILL DRIVE
KNOXVILLE
TN
United States
Tel:
(865) 584-1184
Fax:
(865) 558-6192
R***@*********M
(Full email address available in API data)
Regulatory Contact
AMANDA COPELAND
CLIENT SERVICE ADMINISTRATOR
6322 DEANE HILL DRIVE
KNOXVILLE
TN
United States
Tel:
(865) 584-1184
Fax:
(865) 558-6192
A*****@*********M
(Full email address available in API data)
Industry Affiliates
| NOVINGER, BALL & ZIVI, PC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZIVI, RICHARD, IRA | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 07/1995 | 50-75% |
| STOOKSBURY, BRADLEY, EDWARD | Individual | – | OWNER | 01/2021 | 10-25% |
| HALL, TERRY, RAY | Individual | – | OWNER | 01/2021 | 10-25% |
| SEGERS, LUCINDA, JENSEN | Individual | – | OWNER | 01/2021 | 10-25% |
| PETERS, KIMBERLY, MICHELLE | Individual | – | OWNER | 01/2021 | 10-25% |