Charles W. Zeller

CAZ INVESTMENTS L.P.

Houston, TX 77056

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CRD#: 6404764

Professional summary

Charles William Zeller, who also goes by Charlie Zeller, is a registered financial advisor currently at CAZ INVESTMENTS L.P. located in Houston, Texas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Charles has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Zeller

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.

International Burn Foundation, Not Investment-Related, 6915 Ebenezer Church Road, Hillsborough, NC 27278, Provides a prize every 4 years to somebody who has made an outstanding contribution to any aspect of burn management or to an outstanding practitioner of burn treatment, Treasurer, Treasurer, 2/2/25, 1-2 hrs per month, The Treasurer's role is to safeguard the Foundation's assets and ensure that we are investing it in a way that will provide the capital necessary to award the prize every 4 years ($100K prize, paid out over 4 years)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Zeller'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

September 28, 2022 - Present

CAZ INVESTMENTS L.P.

Office #1: One Riverway Suite 2000, Houston, TX 77056

RIA

CRD#: 113931

Houston, TX

Past

August 16, 2018 - May 16, 2022

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CHICAGO, IL

Past

November 25, 2014 - August 2, 2018

DFA SECURITIES LLC

CRD#: 10292

CHARLOTTE, NC

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".

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 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

Texas
(9/28/2022)

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: 8/31/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/22/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 11/25/2014

General Securities Representative Examination

Current Firm

CAZ INVESTMENTS L.P.

CAZ INVESTMENTS L.P. | TRINITY WEALTH MANAGEMENT LP

CRD#: 113931 / SEC#: 801-60606

RIA

Registered Investment Advisory firm - (9/27/2001 Approved)

Texas

Registered Investment Advisory firm - (9/27/2001 Terminated)

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Contact information

Main Address

One Riverway Suite 2000, Houston, TX 77056

Mailing Address

Phone number

(713) 403-8250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 CAZ DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	10,613
AUM (Assets Under Management)	$ 8,653,972,299

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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Firm Stability Insights

Charles W. Zeller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Zeller's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

DFA SECURITIES LLC

Primary Firm SEC Registration

CAZ INVESTMENTS L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/31/2016

SIE

Date: 10/1/2018

Series 79

Date: 8/22/2018

Series 7

Date: 11/25/2014

Current Firm

CAZ INVESTMENTS L.P.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAZ INVESTMENTS L.P.

TRUST BUT VERIFY

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