Capzone Management Llc
- Regulatory AUM
- $202M
- Discretionary
- $202M
- Clients
- 1
- Avg AUM / client
- $202M
- Accounts
- 1
- Employees
- 24
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 1 | $202M | 100.0% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Sep 2024 · $0 combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| United Submarine Alliance (Usa) Qualified Opportunity Fund Lp | Private Equity Fund | Delaware | $0 | 5 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alfred John Puchala | Owner | May 2018 (8y) | ≈ 18.75% – 56.25% via Puchala & Co | |
| Lake, Kimberly, Joanne | General Counsel | May 2018 (8y) | ≈ 18.75% – 56.25% via Puchala & Co | |
| Lake, Charles, Thornton | President & Chief Compliance Officer | Apr 2019 (7y) | Less than 5% | |
| Cody Lj West | Registered representative | Apr 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Capzone Impact Investments | Owner | Apr 2019 | A | 75% or more |
| Puchala & Co | Owner | Apr 2019 | B | ≈ 37.5% – 75% via Capzone Impact Investments |
| Renovation Capital, Llc | Owner | Apr 2019 | B | ≈ 18.75% – 50% via Capzone Impact Investments |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Alfred John Puchala: 50% – 75% of Puchala & Co × 50% – 75% of Capzone Impact Investments × 75% – 100% direct ≈ 18.75% – 56.25% of the firm
- Lake, Kimberly, Joanne: 50% – 75% of Puchala & Co × 50% – 75% of Capzone Impact Investments × 75% – 100% direct ≈ 18.75% – 56.25% of the firm
- Puchala & Co: 50% – 75% of Capzone Impact Investments × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Renovation Capital, Llc: 25% – 50% of Capzone Impact Investments × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $0 gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| United Submarine Alliance (Usa) Qualified Opportunity Fund Lp | Private Equity Fund | $0 | $5.0M | 5 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.22 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗