Adam Z. Epstein

MAZE INVESTMENTS

Los Angeles, CA 90025

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CRD#: 4701279

Professional summary

Adam Zachary Epstein is a registered financial advisor currently at MAZE INVESTMENTS, LLC located in Los Angeles, California.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Adam has worked at 2 firms and has passed the Series 63, Series 87 and Series 7 exams.

Question & Answer

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.

Perfect Moment Ltd., Not investment-related. 244 5th Ave., Ste. 1219, New York, NY 10001, Nature of business: Apparel, Accessories and Luxury Goods. Title: Director, Start-5/29/25. Spend 10 hours per month and 5 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Zachary Epstein's 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

June 30, 2010 - Present

MAZE INVESTMENTS, LLC

Office #1: 12100 Wilshire Boulevard Suite 620, Los Angeles, CA 90025

RIA

CRD#: 153913

Los Angeles, CA

Past

September 9, 2003 - October 16, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

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".

MAZE INVESTMENTS, LLC

MAZE INVESTMENTS LLC | MAZE INVESTMENTS, LLC

CRD#: 153913 / SEC#: 801-121747

RIA

Registered Investment Advisory firm - (7/12/2021 Approved)

California

Registered Investment Advisory firm - (8/21/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2021 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

California
(6/30/2010)

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: 9/22/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 12/16/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/8/2003

General Securities Representative Examination

Current Firm

MAZE INVESTMENTS, LLC

MAZE INVESTMENTS LLC | MAZE INVESTMENTS, LLC

CRD#: 153913 / SEC#: 801-121747

RIA

Registered Investment Advisory firm - (7/12/2021 Approved)

California

Registered Investment Advisory firm - (8/21/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2021 Terminated)

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Contact information

Main Address

12100 Wilshire Boulevard Suite 620, Los Angeles, CA 90025

Mailing Address

Phone number

(310) 846-8574

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MAZE INVESTMENTS, LLC ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 127,358,000

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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Adam Z. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Zachary Epstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAZE INVESTMENTS, LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

MAZE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/2003

Series 87

Date: 12/16/2004

Series 7

Date: 9/8/2003

Current Firm

MAZE INVESTMENTS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAZE INVESTMENTS, LLC

TRUST BUT VERIFY

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