Role at Pzena Investment Management
- Title on Schedule A
- Chairman; Co-Chief Investment Officer
- Control
- Richard Pzena is a control person of Pzena Investment Management.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Richard Pzena has held the filed role since December 1995.
The firm
Form ADV filed 30 March 2026
Career on record
Richard Pzena has been registered through Pzena Investment Management since January 1996.
- – present · 31 yearsNew York, NY · Adviser representative · Firm CRD 106847
- Passed Series 3 · 1994
- Passed Series 65 · 1993
- Passed Series 16 · 1991
- Passed Series 7 and Series 63 · 1986
Registrations and exams
Richard Pzena has a current investment-adviser registration in Connecticut and Texas and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Connecticut | Investment adviser representative | Approved | 9 January 1996 |
| Texas | Investment adviser representative | Approved, resident | 1 January 1998 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved, resident
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 December 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 July 1986 |
| Series 3 | National Commodity Futures Examination | 6 June 1994 |
| Series 16 | NYSE Supervisory Analyst Examination | 29 May 1991 |
| Series 7 | General Securities Representative Examination | 17 May 1986 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- National Commodity Futures Examination
- Name
- NYSE Supervisory Analyst Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Richard Stanton Pzena
- CRD
- 1496566
- Registration status
- Investment adviser registration
- Office
- 830 THIRD AVENUE, 14TH FLOOR, New York, NY 10022
- Firm bio
- pzena.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Pzena says Richard Pzena began the firm in 1995 and serves as co-portfolio manager for its U.S. Large Cap, Focused Value, and U.S. Best Ideas strategies. The page describes his prior work at Sanford C. Bernstein and Amoco. Official firm biography/team page
Education
- He earned a B.S. summa cum laude and an MBA from the Wharton School of the University of Pennsylvania.Official firm biography/team page
Common questions
Where does Richard Pzena work?
Richard Pzena has been Chairman; Co-Chief Investment Officer of Pzena Investment Management LLC since December 1995, and is a control person of the firm.
Is Richard Pzena a financial advisor?
Yes. Richard Pzena has a current investment-adviser registration in Connecticut and Texas, through Pzena Investment Management since January 1996, as of 17 October 2026.
How many years of experience does Richard Pzena have?
Richard Pzena has worked in the financial industry for 30 years as of 17 October 2026, counted from 8 January 1996, across 1 adviser firm.
What exams has Richard Pzena passed?
Richard Pzena has passed 5 licensing exams: the Series 7, Series 63, Series 16, Series 65 and Series 3. The earliest, the Series 7, was passed in May 1986.
Where is Richard Pzena based?
Richard Pzena’s registered office is in New York, NY.
Leadership at Pzena Investment Management
- Chenyu CaiChief Executive Officer
- Allison FischPresident
- Jessica DoranChief Financial Officer
- Evan FireChief Operating Officer
- Steven CoffeyChief Legal Risk Officer and Chief Compliance Officer
- Geoffrey BauerChief Legal Officer
- John GoetzCo-Chief Investment Officer
- William LipseyVice Chairman