NBZ INVESTMENT ADVISORS, LLC

CRD

123902

SEC file #

801-62087

EIN

621608809

DBA names

—

Economics

AUM

$431.2M

AUM band

$100M-$500M

AUM trajectory

'20 · $195.1M

'21 · $233.7M

'22 · $264.7M

'23 · $301.4M

'25 · $370.8M

'26 · $431.2M

'20'26

$195.1M → $431.2M▲ +121%

sec adv history

Client mix

Individuals High Net Worth	114
Individuals Other	84
Pension Profit Sharing Plans	1

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 3 advisors

'21 · 3 advisors

'22 · 4 advisors

'23 · 4 advisors

'25 · 3 advisors

'26 · 4 advisors

'20'26

3 advisors → 4 advisors▲ +33%

sec adv history

Primary office

KNOXVILLE TN

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPension consultingOther Advisory Services

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

03/25/2026

ADV-W filed at

—

Website

nbzinvest.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

ZIVI, RICHARD, IRA

Top Owner Pct

62.5

Top Owner Entity Kind

Owner Count

Control Persons

ZIVI, RICHARD, IRA

HALL, TERRY, RAY

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

NBZINVEST.COM

Rdap Domain Creation Date

2014-09-22T14:02:45Z

Rdap Firm Age Years

Rdap Firm Age Band

10-20y

Rdap Registrar

Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Form 5500 Plan Count

Form 5500 Total Compensation

26,411

Form 5500 Compensation Trajectory 3y

2025

26,411

Form 5500 Plan Count Trajectory 3y

2025

Schedule C Total Compensation

26,411

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001998018

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2025-02-12

Edgar Last Filing Date

2026-05-04

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-04

Accession0001398344-26-008218

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
E*trade	4

adv brochure

Edgar Addresses

Mailing

6322 DEANE HILL DRIVEKNOXVILLE, TN 37919

Business

6322 DEANE HILL DRIVEKNOXVILLE, TN 37919

Edgar EIN

621608809

Edgar Recent Filings

13F-HR2026-05-04 · 0001398344-26-008218

13F-HR2026-02-03 · 0001398344-26-001994

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2029-09-22T14:02:45Z

Rdap Domain Last Changed

2024-08-22T07:51:13Z

Rdap Nameservers

Ns85.worldnic.comNs86.worldnic.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Top Owner CRD

4602508

Trust Company Affiliate