Carl J. Zuckerberg

RZH ADVISORS LLC | Principal, Chief Investment Strategist

STAMFORD, CT 06901

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CRD#: 2215130

Professional summary

Carl Jonathan Zuckerberg, AIF®, CFP®, CIMA® is a registered financial advisor currently at RZH ADVISORS LLC located in Stamford, Connecticut.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Carl has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Trust & estate planning

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

None

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.

FIXED INSURANCE SALES, AS INSURANCE AGENT, INVESTMENT-RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Jonathan Zuckerberg'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1996

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 25, 2000 - Present

RZH ADVISORS LLC

Office #1: One Landmark Square 11 Floor, Stamford, CT 06901

RIA

CRD#: 125696

STAMFORD, CT

Past

March 1, 2000 - May 28, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

STAMFORD, CT

Past

July 21, 1993 - May 28, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

STAMFORD, CT

Past

March 27, 1992 - July 29, 1993

SUMMIT EQUITIES, INC.

CRD#: 11039

PARSIPPANY, NJ

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".

RZH ADVISORS LLC

RELYEA ZUCKERBERG HANSON, LLC | RZH ADVISORS LLC

CRD#: 125696 / SEC#: 801-71454

RIA

Registered Investment Advisory firm - (5/17/2010 Approved)

Connecticut

Registered Investment Advisory firm - (5/18/2010 Terminated)

New York

Registered Investment Advisory firm - (5/18/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(4/25/2000)

IAR

North Carolina
(11/11/2020)

IAR

Texas
(6/1/2010)

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: 4/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/26/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/19/2000

General Securities Principal Examination

Current Firm

RZH ADVISORS LLC

RELYEA ZUCKERBERG HANSON, LLC | RZH ADVISORS LLC

CRD#: 125696 / SEC#: 801-71454

RIA

Registered Investment Advisory firm - (5/17/2010 Approved)

Connecticut

Registered Investment Advisory firm - (5/18/2010 Terminated)

New York

Registered Investment Advisory firm - (5/18/2010 Terminated)

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Contact information

Main Address

One Landmark Square 11th Floor, Stamford, CT 06901

Mailing Address

Phone number

(203) 355-0880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (5/20/2025)

Regulatory assets under management

Total Number of Accounts	1,578
AUM (Assets Under Management)	$ 2,113,150,489

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2025	Cover Page	Report
10/22/2025	Cover Page	Report
11/13/2024	Cover Page	Report
10/04/2023	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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Carl J. Zuckerberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Jonathan Zuckerberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

SUMMIT EQUITIES, INC.

Primary Firm SEC Registration

RZH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/24/1992

Series 7

Date: 3/26/1992

Series 24

Date: 2/19/2000

Current Firm

RZH ADVISORS LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RZH ADVISORS LLC

TRUST BUT VERIFY

Contact information

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