Asset manager · Phoenix, AZ
Asterozoa Management
Asterozoa Management LLC · SEC-registered investment adviser · CRD 316870 · SEC 801-122731
At a glance
Asterozoa Management is an SEC-registered investment adviser based in Phoenix, Arizona, with $104 million in regulatory assets under management as of its Form ADV filed September 11, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 2,326th of 3,218 asset managers and 15,313th of 17,210 SEC-registered advisers by assets.
Main office 858-692-8461asterozoacapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $104M
- Rank among asset managers
- #2,326 of 3,218
- Rank among all SEC RIAs
- #15,313 of 17,210
- Rank in Arizona
- #184 of 212
- Clients
- 3
- Accounts
- 3
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 3
- Offices
- 3
Owners and executives on its Form ADV
- Joseph L. HegenerManaging Member, Chief Investment Officer
- KEVIN G. YINVice President
- Paul J. HegenerChief Risk Officer
- Julia AltuzarraVice President, Investor Relations & Account Management
- John KaitesMember
- Jennifer L. RodriguezChief Compliance Officer
Custody and brokerage
Custodian
Asterozoa Management’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 1 | $58M | 55% |
| Pooled investment vehicles | 2 | $46M | 45% |
Private funds
Asterozoa Management reports 2 private funds with $46M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Asterozoa Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗asterozoacapital.com ↗
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The full record on Asterozoa Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
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- Growth over one, three and five years
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- Rank against 555 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Asterozoa Management manage?
Asterozoa Management reports $104 million in regulatory assets under management across 3 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 11, 2026.
What kind of firm is Asterozoa Management?
Asterozoa Management is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Asterozoa Management’s clients?
By assets, its largest client types are investment companies ($58 million, 1 clients); pooled investment vehicles ($46 million, 2 clients).
Does Asterozoa Management manage private funds?
Yes. It reports 2 private funds with $46 million in gross assets, including hedge funds.
Does Asterozoa Management have any disciplinary history?
Asterozoa Management reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Asterozoa Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →