{"url":"https://nivawealth.com/firms/caz-investments-113931","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/113931","regulatoryAum":10830341793,"crd":"113931","secFileNumber":"801-60606","legalName":"Caz Investments L.P.","displayName":"Caz Investments","website":"https://cazinvestments.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/113931/11864c603e4335c3-r1.webp","tone":"light","width":790,"height":200,"sourceUrl":"https://cazinvestments.com/","sourceLabel":"CAZ Investments L.p., website"},"linkedinUrl":"https://www.linkedin.com/company/caz-investments-lp/about/","founded":null,"organization":"Texas limited partnership","fiscalYearEnd":"December","headquarters":{"street":"1360 Post Oak BLVD., Suite 2200","city":"Houston","state":"TX","stateName":"Texas","country":"United States","postalCode":"77056"},"tradeNames":[],"registration":{"secApproved":"27 September 2001","noticeFilings":1,"latestNoticeFiling":"31 August 2000","inventory":{"sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_10_15_2026.xml.gz","sourceAsOf":"2026-10-15","retrievedAt":"2026-10-16T03:16:53.781384+00:00","noticeFilings":[{"status":"Notice Filed","jurisdiction":"Texas","effectiveDate":"2000-08-31"}],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"2001-09-27"}]}},"wealthAumPerClient":null,"staff":{"employees":83,"advisory":68,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":10830341793,"discretionaryAccounts":13562,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":103,"regulatoryAum":10830341793}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"not_processed","checkedAt":"2026-10-16T03:57:27.118624+00:00","documents":[{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035653","versionId":1035653,"submittedOn":null}]},"custodians":[],"custodyNote":"Caz Investments has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Isaiah Massey","title":"Chief Compliance Officer/Chief Financial Officer","crd":"6460251"},{"name":"Christopher Zook","title":"Chairman/Chief Investment Officer","crd":"2125318"}],"ownership":[{"label":"Caz Investments 2021 LP","detail":"Limited partner in the 75% or more ownership band and a control person, since May 2021. Also general partner of Caz Investments Management LLC and a control person, since May 2021."},{"label":"Christopher Zook","detail":"Indirect owner: a owner of Caz Investments 2021 GP LLC in the 75% or more band and a control person, since May 2021. Also a owner of Yahweh Holdings LTD in the 50% to 75% band and a control person, since February 1998.","parent":"Caz Investments 2021 GP LLC"},{"label":"Caz Investments 2021 GP LLC","detail":"Indirect owner: general partner of Caz Investments 2021 LP and a control person, since May 2021.","parent":"Caz Investments 2021 LP"},{"label":"Yahweh Holdings LTD","detail":"Indirect owner: a limited partner of Caz Investments 2021 LP in the 25% to 50% band and a control person, since May 2021.","parent":"Caz Investments 2021 LP"},{"label":"Lisa Zook","detail":"Indirect owner: a owner of Yahweh Holdings LTD in the 50% to 75% band and a control person, since February 1998.","parent":"Yahweh Holdings LTD"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"1360 Post Oak BLVD., Suite 2200","city":"Houston","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"713-403-8250","stateRegisteredReps":22,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":107},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/113931/PDF/113931.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Caz Investments have?","answer":"Caz Investments has 103 clients and manages $10.8 billion for them, as of March 2026. They include 103 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Caz Investments offer?","answer":"Caz Investments provides portfolio management for pooled vehicles and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Caz Investments have?","answer":"Caz Investments has 22 investment adviser representatives registered with state securities authorities, out of 83 employees, and 68 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Caz Investments?","answer":"Caz Investments is owned through a chain of holding companies by Christopher Zook and Lisa Zook. Its direct owner is Caz Investments 2021 LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Caz Investments get paid?","answer":"Caz Investments is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/caz-investments-113931/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-13","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1159363/000115936326000006/0001159363-26-000006-index.html","totalValue":548846430,"positionCount":55,"top10Share":0.8375301466386508,"top10":[{"issuer":"OWL 21AUG26 11 P","titleOfClass":"Option","cusip":"09581B953","value":204393875,"shares":23359300,"shareType":"SH","putCall":"Put"},{"issuer":"BLUE OWL TECHNOLOGY FINANCE","titleOfClass":"Common Stock","cusip":"095924106","value":93414504,"shares":9025556,"shareType":"SH","priorValue":38218665,"priorShares":3084638},{"issuer":"RIDGEPOST CAPITAL INC-A","titleOfClass":"Common Stock","cusip":"69376K106","value":30502208,"shares":3875757,"shareType":"SH"},{"issuer":"BLUE OWL CAPITAL CORP","titleOfClass":"Common Stock","cusip":"69121K104","value":29975220,"shares":2757610,"shareType":"SH","priorValue":12434813,"priorShares":1124305},{"issuer":"TPG Inc.","titleOfClass":"Common Stock","cusip":"872657101","value":26357500,"shares":650000,"shareType":"SH"},{"issuer":"BLUE OWL CAPITAL INC","titleOfClass":"Common Stock","cusip":"09581B103","value":18624375,"shares":2128500,"shareType":"SH","priorValue":684750,"priorShares":75000},{"issuer":"KKR 17JUL26 100 P","titleOfClass":"Option","cusip":"48251W954","value":18356000,"shares":200000,"shareType":"SH","putCall":"Put"},{"issuer":"GRAB HOLDINGS LTD - 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Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}