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Private fund adviser · Florham Park, NJ

OZE Capital LLC

SEC-registered investment adviser · CRD 327276 · SEC 801-128773

At a glance

OZE Capital LLC is an SEC-registered investment adviser based in Florham Park, New Jersey, with $214 million in regulatory assets under management as of its Form ADV filed August 25, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 3,976th of 4,686 private fund advisers and 11,916th of 17,210 SEC-registered advisers by assets.

Main office 973-446-6876ozecapital.comAs filed on Form ADV

Regulatory AUM
$214M
Rank among private fund advisers
#3,976 of 4,686
Rank among all SEC RIAs
#11,916 of 17,210
Rank in New Jersey
#266 of 392
Clients
12
Accounts
12
Discretionary
100% of AUM
Employees
6
Advisory staff
5
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

OZE Capital LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

OZE Capital LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.

Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Pooled investment vehicles12$214M100%

Private funds

OZE Capital LLC reports 13 private funds with $186M in gross assets: private equity funds (Form ADV Item 7.B).

Disciplinary disclosures

OZE Capital LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for pooled investment vehicles

How it’s paid

  • Fixed fees
  • Performance-based fees
  • Other

Form ADV and brochures on the SEC’s adviser search ↗ozecapital.com ↗

AtlasMembers

The full record on OZE Capital LLC

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, 2 years of filings
Locked
Growth over one, three and five years
Locked
Rank against 1,772 peers of its type and size
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Owners and executives, with titles and stakes
5 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does OZE Capital LLC manage?

OZE Capital LLC reports $214 million in regulatory assets under management across 12 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 25, 2026.

What kind of firm is OZE Capital LLC?

OZE Capital LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.

Who are OZE Capital LLC’s clients?

By assets, its largest client types are pooled investment vehicles ($214 million, 12 clients).

Does OZE Capital LLC manage private funds?

Yes. It reports 13 private funds with $186 million in gross assets, including private equity funds.

Does OZE Capital LLC have any disciplinary history?

OZE Capital LLC 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 OZE Capital LLC’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 (2026-08-25), 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 →