{"url":"https://nivawealth.com/firms/syzygy-asset-management-120440","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120440","regulatoryAum":32222800756,"crd":"120440","secFileNumber":"801-61153","legalName":"Syzygy Asset Management, LLC","displayName":"Syzygy Asset Management","website":"https://www.syzygyassetmanagement.com","founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"660 Newport Center Drive, Suite 300","city":"Newport Beach","state":"CA","stateName":"California","country":"United States","postalCode":"92660"},"tradeNames":[],"registration":{"secApproved":"10 May 2002","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":31,"advisory":15,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":30066022009,"discretionaryAccounts":23,"nonDiscretionary":2156778747,"nonDiscretionaryAccounts":9,"wrapProgram":null,"nonUsClientsPct":3,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":15,"regulatoryAum":22073939019},{"label":"Pooled investment vehicles","clients":9,"regulatoryAum":4702063511},{"label":"Pension and profit-sharing plans","clients":3,"regulatoryAum":767263976},{"label":"State or municipal government entities","clients":5,"regulatoryAum":4679534250}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Syzygy Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Katrina Sherrerd","title":"Chief Executive Officer","crd":"5309454"},{"name":"Reena Lalji","title":"Chief Operating Officer, Chief Compliance Officer","crd":"6129854"},{"name":"Robert Arnott","title":"Non-Executive Chairman","crd":"1532951"}],"ownership":[{"label":"Syzygy Global Holdings, LLC","detail":"Holding company in the 75% or more ownership band and a control person, since January 2012."},{"label":"Robert Arnott","detail":"Indirect owner: a trustor and trustee arnott family trust a member of syzygy global holdings, llc. includes beneficial interests. of Syzygy Global Holdings, LLC in the 50% to 75% band and a control person, since August 2002.","parent":"Syzygy Global Holdings, LLC"},{"label":"Arnott Family Trust","detail":"Indirect owner: a member of syzygy global holdings, llc of Syzygy Global Holdings, LLC in the 25% to 50% band and a control person, since October 2011.","parent":"Syzygy Global Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"660 Newport Center Drive, Suite 300","city":"Newport Beach","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-325-8700","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":99},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"18 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/120440/PDF/120440.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Syzygy Asset Management have?","answer":"Syzygy Asset Management has 32 clients and manages $32.2 billion for them, as of September 2026. They include 15 investment companies, 9 pooled investment vehicles and 5 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Syzygy Asset Management offer?","answer":"Syzygy Asset Management provides portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and other activities.","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 Syzygy Asset Management have?","answer":"Syzygy Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 31 employees, and 15 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":"What does Syzygy Asset Management invest in?","answer":"At the end of its last fiscal year, Syzygy Asset Management’s separately managed accounts held 99% exchange-traded equities and 1% cash and equivalents. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Syzygy Asset Management?","answer":"Syzygy Asset Management is owned through a holding company by Robert Arnott and Arnott Family Trust. Its direct owner is Syzygy Global Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Syzygy Asset Management get paid?","answer":"Syzygy Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees 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":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}