{"url":"https://nivawealth.com/firms/zais-group-108371","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108371","regulatoryAum":5255178991,"crd":"108371","history":[{"filedOn":"2021-03-29","regulatoryAum":6865719132,"clients":27,"employees":52,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":6663722592,"clients":28,"employees":55,"offices":1},{"filedOn":"2023-05-26","regulatoryAum":6408101193,"clients":28,"employees":53,"offices":1},{"filedOn":"2024-06-03","regulatoryAum":6040388802,"clients":29,"employees":47,"offices":1},{"filedOn":"2025-05-12","regulatoryAum":5405682115,"clients":30,"employees":49,"offices":2},{"filedOn":"2026-06-04","regulatoryAum":5255178991,"clients":30,"employees":46,"offices":2}],"secFileNumber":"801-54979","legalName":"Zais Group LLC","displayName":"ZAIS Group","slug":"zais-group-108371","website":"https://zaisgroup.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/zaisgroup","xUrl":"https://x.com/zaisgroup","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"101 Crawfords Corner Road, Suite 1206","city":"Holmdel","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"07733"},"tradeNames":[],"registration":{"secApproved":"21 October 1997","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":46,"advisory":19,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":5255178991,"discretionary":5232958906,"discretionaryAccounts":39,"nonDiscretionary":22220085,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":29,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":27,"regulatoryAum":4279837635},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":575847512},{"label":"Other","clients":2,"fewerThan5":true,"regulatoryAum":399493844}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"The Bank of NY Mellon","shortName":"The Bank of NY Mellon","location":"New York, NY","smaAssets":399493844},{"name":"State Street Global Operations","shortName":"State Street Global Operations","location":"Quincy, MA","smaAssets":575847512}],"custodyNote":"ZAIS Group has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Daniel Curry","title":"President","crd":"6926025"},{"name":"Nisha Motani","title":"Chief Financial Officer","crd":"6737773"},{"name":"Kelly Ryan","title":"Chief Compliance Officer","crd":"6821920"},{"name":"Sean Lensborn","title":"Chief Technology Officer","crd":"4125994"},{"name":"Mark Russo","title":"General Counsel","crd":"6773416"},{"name":"Christian Zugel","title":"Managing Member and Chief Investment Officer","crd":"2768757"}],"ownership":[{"label":"Zais Group Holdings, Inc.","detail":"Owner in the 75% or more ownership band and a control person, since March 2015."},{"label":"Christian Zugel","detail":"Indirect owner: a member of Zais Group Holdings, Inc. in the 25% to 50% band and a control person, since March 2015.","parent":"Zais Group Holdings, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"101 Crawfords Corner Road, Suite 1206","city":"Holmdel","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"400 Park Avenue","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"732-530-3610","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":84},{"label":"Cash and cash equivalents","percent":14},{"label":"Other","percent":2,"detail":"Real Estate Interests in Student Housing and Equity in Non-Securitized Assets."}],"privateFunds":26},"sources":{"adv1FilingDate":"4 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108371/PDF/108371.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does ZAIS Group have?","answer":"ZAIS Group has 30 clients and manages $5.26 billion for them, as of June 2026. They include 27 pooled investment vehicles, 2 other clients and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does ZAIS Group offer?","answer":"ZAIS Group provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does ZAIS Group use?","answer":"ZAIS Group’s separately managed account assets are held at State Street Global Operations (Quincy, MA), with $576M and The Bank of NY Mellon (New York, NY), with $399M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does ZAIS Group have?","answer":"ZAIS Group has 0 investment adviser representatives registered with state securities authorities, out of 46 employees, and 19 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 ZAIS Group invest in?","answer":"At the end of its last fiscal year, ZAIS Group’s separately managed accounts held 84% pooled vehicles (private funds and similar), 14% cash and equivalents and 2% other. The 2% other category is described as: Real Estate Interests in Student Housing and Equity in Non-Securitized Assets. It advises 26 private funds.","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 ZAIS Group?","answer":"ZAIS Group is owned through a holding company by Christian Zugel. Its direct owner is Zais Group Holdings, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does ZAIS Group get paid?","answer":"ZAIS Group is paid through a percentage of assets under management, performance-based fees and other compensation. 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"}},{"question":"How do I contact ZAIS Group?","answer":"ZAIS Group’s main office is at 101 Crawfords Corner Road, Suite 1206, Holmdel, NJ 07733. Its phone number is 732-530-3610. Its website is zaisgroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}