Ziv Investment Company

Ziv Investment Company provides discretionary portfolio management and securities and retirement‑planning advice to individuals (including high‑net‑worth clients), businesses and institutional clients. The firm manages about $22.9 million for a small number of advisory clients and, on a limited referral basis, places some clients into a third‑party wrap program.

Investment advice is delivered on a discretionary basis and is tailored through detailed fact‑finding to each client’s goals, risk tolerance and time horizon; the firm employs both fundamental and technical analysis and generally favors long‑term equity holdings and cash‑equivalent instruments. The adviser considers tax consequences in recommendations, permits client‑imposed investment restrictions, and does not accept authority to vote client proxies.

Ziv is notable for operating in a dual capacity as both an investment adviser and a long‑standing broker‑dealer that self‑clears and uses an outside custodian/custody arrangements; its registered representatives can execute brokerage transactions and may receive commissions in addition to advisory fees, a potential conflict the firm discloses and manages through written policies and trade surveillance. The firm’s record includes several FINRA disciplinary matters (including fines and a suspension), and it uses compliance controls, direct‑billing/custody practices and a code of ethics to address supervisory and conflict‑of‑interest risks.