Jeffrey R. Keen

AZA CAPITAL MANAGEMENT

Leland, MI

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CRD#: 5719741

Professional summary

Jeffrey Richardson Keen, who also goes by Jeff Keen, is a registered financial advisor currently at AZA CAPITAL MANAGEMENT located in Leland, Michigan.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Jeffrey has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Keen

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 2019, Mr. Keen has been the owner of Broadreach Enterprises, LLC ("Broadreach") located at 3119 N Manitou Trl, Leland, MI 49654. Broadreach is not an investment-related business. Broadreach has a service agreement with Insight 2811, Inc. to maintain an off-site office location to bolster operational continuity and serve as a backup for limited contingency operations in the event of a natural disaster, government lockdown, or other business disruption. On a monthly basis, approximately 1-10 hours during non-trading hours are spent bookkeeping and maintaining the company's location.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Richardson Keen'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

December 23, 2009 - Present

AZA CAPITAL MANAGEMENT

RIA

CRD#: 109784

Leland, MI

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
(12/23/2009)

IAR

Michigan
(3/9/2021)

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: 12/22/2009

Uniform Investment Adviser Law 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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Jeffrey R. Keen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Richardson Keen's CRS (Customer Relationship Summary).

Certified licenses

Experience

AZA CAPITAL MANAGEMENT

Primary Firm SEC Registration

AZA CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2009

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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