AdvisorCensus / Financial advisors / Arizona / Phoenix / Asterozoa Management
Asterozoa Management
Filed as ASTEROZOA MANAGEMENT · Legal name Asterozoa Management LLC
Asterozoa Management is an SEC-registered investment advisory firm in Phoenix, AZ, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 11, 2026.
Quick answers
From the filingHow is Asterozoa Management compensated?
On its Form ADV (Item 5.E, October 2026), Asterozoa Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees.
Where is Asterozoa Management located?
Asterozoa Management's principal office is in Phoenix, AZ, according to its Form ADV.
Is Asterozoa Management registered with the SEC or a state?
Asterozoa Management is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 316870.
How much does Asterozoa Management manage?
Asterozoa Management reports $103,936,739 in regulatory assets under management in its Form ADV filing dated September 11, 2026 (100% discretionary).
How have Asterozoa Management's assets and staff changed since 2022?
In the Form ADV data for Asterozoa Management: Regulatory assets under management: $463,311,000 in the October 2022 data and $103,936,739 in the October 2026 data, down 78%. Total employees: 4 in October 2022 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Asterozoa Management serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2); investment companies (1).
Does Asterozoa Management report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/316870
What changed in Asterozoa Management's recent Form ADV filings?
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 18, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$103,936,739 as of October 2026, filing dated September 11, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Other
Registration and firm details
Items 1, 2, 5- Legal name
- Asterozoa Management LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2021 (4 years)
- Employees
- Total: 4. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $103,936,739 | 4 | September 11, 2026 |
| October 2025 | $116,848,744 | 4 | May 8, 2025 |
| October 2024 | $106,047,795 | 4 | September 11, 2024 |
| October 2023 | $482,808,599 | 3 | September 13, 2023 |
| October 2022 | $463,311,000 | 4 | March 23, 2022 |
Regulatory assets under management: $463,311,000 in the October 2022 data and $103,936,739 in the October 2026 data, down 78%.
Total employees: 4 in October 2022 and 4 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- October 2026
- Updated its list of owners and control persons (Schedule A).
- April 2026
- Regulatory assets under management went from $116,848,744 to $103,936,739 (-11%).
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Asterozoa Management (CRD 316870): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/asterozoa-management-phoenix-az-316870