Caz Investments L.P. (Houston)

Name: Caz Investments L.P.
Address: One Riverway, Houston, TX, 77056
Telephone: 713-403-8250

Caz Investments L.P. is a large advisory firm based in Houston. It manages $1.24 billion of regulatory assets for 3,150 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Louisiana and Texas.

Caz Investments provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Caz Investments: assets under management

The assets under management (AUM) of Caz Investments L.P. is $1.24 billion. The firm's AUM has grown by 4322% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.24 billion in discretionary accounts and $1.56 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $396.33 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $51.86 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 94% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 5% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Caz Investments L.P. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gary Arthur Messersmith serves?

The firm provides services to high net worth individuals and pooled investment vehicles. The largest group of clients of Gary Arthur Messersmith is pooled investment vehicles with 48 clients and $1.19 billion of assets under management. Among the 12 most similar advisory firms, Caz Investments has the 5th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.24 billion for 111 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Caz Investments also advises several private funds. Namely, twelve hedge funds, two real estate funds, and thirty four private equity funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at Caz Investments L.P.

The company employs 25 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 16 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Gary Arthur Messersmith has been acting as President since 1 Jul 2002. Ralph Denneth Mcbride joined the executive team most recently as the Limited Partner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Caz Investments Management Llc	General partner	1 Aug 2001	Other	76-0649950
L.P. Cip/Caz	Limited partner	1 Aug 2001	Other	76-0689839
James Casey Hodges	Chief operations officer	1 Aug 2001	Other	2765025
Ralph Denneth Mcbride	Passive investor	1 Aug 2001	Other	4343816
Keith Allen Jaworski	Director of research	1 Nov 2001	Other	1278848
Gary Arthur Messersmith	President	1 Jul 2002	Other	4587913
Stephen Nels Mortenson	Executive vice president	1 Jul 2002	Other	2437003
Aimee Bess Mccrory	Executive vice president	1 Apr 2004	Other	834679
Michael Alan Meagher	Executive vice president	1 Oct 2004	Other	1666869
Kathryn Ella Hayden	Director of marketing	1 Jan 2006	Other	1201428
Joseph Jerome Ceasar	Chief operations officer	1 Aug 2012	Other	4710017
Jay Winfield Vanert	Managing director	1 Jun 2013	Other	2414161
Marc Jonathan Sharpe	Managing director	1 Jul 2013	Other	2605241
Jay Winfield Vanert	Managing director and chief compliance officer	1 Nov 2013	Other	2414161
Heather Delgado	Chief operating officer	1 Feb 2014	Other	3204233
Isaiah Luke Massey	Chief compliance officer/chief financial officer	1 Jun 2014	Other	6460251
Matthew James Lindholm	Officer	1 Jun 2014	Other	5932425
Ralph Denneth Mcbride	Limited partner	1 Jan 2016	Other	4343816
Caz Investments Team Lp	Limited partner	1 Jan 2016	Other	320480361

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Christopher Alan Zook	Owner	1 Aug 2001	75% - 100%	2125318
Christopher Alan Zook	Owner	1 Jan 2013	75% - 100%	2125318
Caz Equity Llc	General partner	1 Jan 2016	Other	464415608
Isaiah Luke Massey	Limited partner	1 Jan 2016	25% - 50%	6460251
Heather Delgado	Limited partner	1 Jan 2016	25% - 50%	3204233
Matthew James Lindholm	Limited partner	1 Jan 2016	25% - 50%	5932425
Emily E Van Keppel	Limited partner	1 Jan 2016	25% - 50%	5647641

Based in Houston

The principal office where Caz Investments L.P. performs its advisory services is located at One Riverway, Houston, TX 77056, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 713-403-8250 or by fax 713-403-8251. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at cazinvestments.com and its LinkedIn profile.