AdvisorCensus / Financial advisors / Connecticut / Bridgeport / Capzone Management LLC
Capzone Management LLC is an SEC-registered investment advisory firm in Norwalk, CT, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.
Quick answers
From the filingHow is Capzone Management LLC compensated?
On its Form ADV (Item 5.E, October 2026), Capzone Management LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.
Where is Capzone Management LLC located?
Capzone Management LLC's principal office is in Norwalk, CT, according to its Form ADV.
Is Capzone Management LLC registered with the SEC or a state?
Capzone Management LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 330135.
How much does Capzone Management LLC manage?
Capzone Management LLC reports $201,611,724 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary).
How have Capzone Management LLC's assets and staff changed since 2024?
In the Form ADV data for Capzone Management LLC: Regulatory assets under management: $208,000,000 in the October 2024 data and $201,611,724 in the October 2026 data, down 3%. Total employees: 3 in October 2024 and 24 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Capzone Management LLC serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (1).
Does Capzone Management LLC 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/330135
Does Capzone Management LLC state an account minimum?
Its Form ADV Part 2A brochure dated March 27, 2026 says: "CZM imposes a minimum of $8 million to invest in the Fund. However, this amount can be waived or reduced at the discretion of CZM or an affiliate."
What changed in Capzone Management LLC's recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 7 to 9.
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
- 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 2AAccount minimum: $8,000,000 (the brochure says it may be waived or negotiated)
The brochure's wording
CZM imposes a minimum of $8 million to invest in the Fund. However, this amount can be waived or reduced at the discretion of CZM or an affiliate.
As stated in the firm's Form ADV Part 2A brochure dated March 27, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$201,611,724 as of October 2026, filing dated March 27, 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 pooled investment vehicles (other than investment companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2024 (2 years)
- Employees
- Total: 24. Performing investment advisory functions: 9.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
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 | $201,611,724 | 24 | March 27, 2026 |
| October 2025 | $204,794,770 | 14 | May 12, 2025 |
| October 2024 | $208,000,000 | 3 | September 25, 2024 |
Regulatory assets under management: $208,000,000 in the October 2024 data and $201,611,724 in the October 2026 data, down 3%.
Total employees: 3 in October 2024 and 24 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- April 2026
- Employees performing advisory functions went from 7 to 9.
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. Capzone Management LLC (CRD 330135): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/capzone-management-llc-norwalk-ct-330135