Richard S. Pzena

PZENA INVESTMENT MANAGEMENT LLC

NEW YORK, NY 10022

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CRD#: 1496566

Professional summary

Richard Stanton Pzena, who also goes by Rich Pzena, is a registered financial advisor currently at PZENA INVESTMENT MANAGEMENT LLC located in New York, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Richard has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 16 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Pzena

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.

MR. PZENA IS ALSO ENGAGED AS THE CHIEF EXECUTIVE OFFICER FOR PZENA INVESTMENT MANAGEMENT, LLC ("PIM"), A SEC-REGISTERED INVESTMENT ADVISER LOCATED AT 120 W. 45TH ST., 20TH FL., NEW YORK, NY 10036. MR. PZENA STARTED WORKING AT PIM IN 1995 AND SPENDS APPROXIMATELY 160 HOURS PER MONTH PROVIDING STRATEGIC MANAGEMENT FOR THE OVERALL OPERATIONS OF PIM. MR. PZENA IS ALSO ENGAGED IN NON-INVESTMENT RELATED ACTIVITIES. MR. PZENA IS A BOARD MEMBER FOR BEEFTEK, AN ENTITY INVOLVED IN THE CATTLE INDUSTRY, LOCATED AT 101 E. 101ST ST., NEW YORK, NY 10029. MR. PZENA SPENDS APPROXIMATELY 1 HOUR PER MONTH IN THIS ENGAGEMENT. MR. PZENA IS ALSO THE CHAIRMAN OF THE BOARD FOR THE ASSURA GROUP OF NY LTD., AN ENTITY INVOLVED IN THE INSURANCE INDUSTRY, LOCATED AT 349 FIFTH AVE., NEW YORK, NY 10016. MR. PZENA SPENDS APPROXIMATELY 2 HOURS PER MONTH IN THIS ENGAGEMENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Stanton Pzena'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

January 9, 1996 - Present

PZENA INVESTMENT MANAGEMENT LLC

Office #1: 830 Third Avenue 14th Floor, New York, NY 10022

RIA

CRD#: 106847

NEW YORK, NY

Past

November 10, 2004 - June 16, 2006

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

October 4, 2001 - November 15, 2002

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

September 25, 1996 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

May 20, 1986 - December 5, 1995

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

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".

PZENA INVESTMENT MANAGEMENT LLC

CRD#: 106847 / SEC#: 801-50838

RIA

Registered Investment Advisory firm - (12/15/1995 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

Connecticut
(1/9/1996)

IAR

Texas
(1/1/1998)

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

IAR

Series 65

Date: 12/28/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/6/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 16

Date: 5/29/1991

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Current Firm

PZENA INVESTMENT MANAGEMENT LLC

CRD#: 106847 / SEC#: 801-50838

RIA

Registered Investment Advisory firm - (12/15/1995 Approved)

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Contact information

Main Address

320 Park Avenue 8th Floor, New York, NY, 10022

Mailing Address

Phone number

(212) 355-1600

Established

Firm type

Fiscal year end

# of Employees

159

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	241
AUM (Assets Under Management)	$ 63,691,370,902

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
10/25/2023	Cover Page	Report
01/24/2023	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard S. Pzena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Stanton Pzena's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

QUASAR DISTRIBUTORS, LLC

FIRST FUND DISTRIBUTORS, INC.

SANFORD C. BERNSTEIN & CO., INC.

Primary Firm SEC Registration

PZENA INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1993

Series 63

Date: 7/10/1986

Series 3

Date: 6/6/1994

Series 16

Date: 5/29/1991

Series 7

Date: 5/17/1986

Current Firm

PZENA INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PZENA INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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