Michael C. Vogel

AZA CAPITAL MANAGEMENT

Waunakee, WI

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CRD#: 1300180

Professional summary

Michael Charles Vogel, who also goes by Mike Vogel, is a registered financial advisor currently at AZA CAPITAL MANAGEMENT located in Waunakee, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 11 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Vogel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Since 2002, Mr. Vogel has been the owner of M.C. Vogel, LLC ("MCV") located at 560 5th St NW, Suite 304, Grand Rapids, MI 49504. MCV is an investment related business. MCV handles administrative and employee support functions for Mr. Vogel, who is an IA Representative of AZA Capital Management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Vogel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 5, 2019 - Present

AZA CAPITAL MANAGEMENT

RIA

CRD#: 109784

Waunakee, WI

Past

October 4, 2016 - November 1, 2019

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Grand Rapids, MI

Past

May 29, 2014 - October 3, 2016

INTEROCEAN CAPITAL, LLC

RIA

CRD#: 136887

CHICAGO, IL

Past

October 8, 2012 - April 1, 2014

IPI WEALTH MANAGEMENT, INC.

RIA

CRD#: 111872

BEAR LAKE, MI

Past

October 1, 2012 - April 1, 2014

INVESTMENT PLANNERS, INC.

CRD#: 18557

GRAND RAPIDS, MI

Past

July 2, 2012 - October 26, 2012

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

BEAR LAKE, MI

Past

August 8, 2007 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

BEAR LAKE, MI

Past

August 3, 2007 - October 2, 2012

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

BEAR LAKE, MI

Past

March 19, 2004 - August 29, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ZEELAND, MI

Past

April 7, 1992 - March 22, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 16, 1988 - April 14, 1992

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

October 2, 1984 - December 19, 1988

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AZA CAPITAL MANAGEMENT

ACENTUS PARTNERS | INSIGHT 2811 INC | AZA CAPITAL MANAGEMENT | ARTHUR ZASKE & ASSOCIATES

CRD#: 109784 / SEC#: 801-54428

RIA

Registered Investment Advisory firm - (5/12/1997 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(11/22/2019)

IAR

Michigan
(11/5/2019)

IAR

Wisconsin
(7/28/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/25/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/1/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/2008

General Securities Principal Examination

Current Firm

AZA CAPITAL MANAGEMENT

ACENTUS PARTNERS | INSIGHT 2811 INC | AZA CAPITAL MANAGEMENT | ARTHUR ZASKE & ASSOCIATES

CRD#: 109784 / SEC#: 801-54428

RIA

Registered Investment Advisory firm - (5/12/1997 Approved)

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Contact information

Main Address

141 W Jackson Blvd Suite 3332, Chicago, IL 60604

Mailing Address

Phone number

(312) 429-0880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AZA CAPITAL MANAGEMENT ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	845
AUM (Assets Under Management)	$ 313,995,693

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
11/13/2024	Cover Page	Report
12/14/2023	Cover Page	Report
02/14/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael C. Vogel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Vogel's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH ADVISORS, LLC

INTEROCEAN CAPITAL, LLC

IPI WEALTH MANAGEMENT, INC.

INVESTMENT PLANNERS, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

OSAIC FS, INC.

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

AZA CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/1984

Series 7

Date: 11/16/1985

Series 22

Date: 3/25/1985

Series 6

Date: 10/1/1984

Series 24

Date: 2/11/2008

Current Firm

AZA CAPITAL MANAGEMENT

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AZA CAPITAL MANAGEMENT

TRUST BUT VERIFY

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