CHARLES FISH INVESTMENTS, INC.
Adviser information for CHARLES FISH INVESTMENTS, INC. last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 61 | $356.1M |
| Non-Discretionary | 0 | $0 |
| Total | 61 | $356.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 49 | $317.3M |
| HNW Individuals | <5 | $5.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $4.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $4.8M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $23.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-52674 |
|---|---|
| SEC ERA File Number | 801-52674 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110445 |
| Legal Entity Identifier | None |
Principal Office
30 CORPORATE PARKSUITE 410
IRVINE
CA
United States
Monday - Friday, 7:00AM - 3:00PM
Tel: 949-296-3970, Fax: 949-296-3983
Chief Compliance Officer
SHARMISTHA CHAKRABORTY
VICE PRESIDENT AND CHIEF OPERATIONS OFFICER
30 CORPORATE PARK
SUITE 410
IRVINE
CA
United States
Tel:
949-296-3981
Fax:
949-296-3983
S*****@*************************M
(Full email address available in API data)
Industry Affiliates
| BRENTVIEW INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FISH, CHARLES, WILLARD | Individual | – | PRESIDENT, CEO, & CHIEF INVESTMENT OFFICER | 10/1996 | < 5% |
| CHAKRABORTY, SHARMISTHA | Individual | – | CHIEF COMPLIANCE OFFICER (01/2014), CHIEF OPERATIONS OFFICER & VICE PRESIDENT | 12/2012 | < 5% |
| BLUESTONE ENTERPRISES, LLC | Domestic Entity | – | SHAREHOLDER | 07/2020 | 50-75% |
| BRENTVIEW INVESTMENT MANAGEMENT, LLC | Domestic Entity | – | SHAREHOLDER | 07/2020 | 50-75% |
| BLUESTONE ENTERPRISES | Domestic Entity | BRENTVIEW INVESTMENT MANAGEMENT, LLC | MANAGER | 06/2019 | 25-50% |
| TIMBERLINE ROAD, LLC | Domestic Entity | BRENTVIEW INVESTMENT MANAGEMENT, LLC | MANAGER | 01/2019 | 25-50% |
| BOOTHE, JAMES, RALPH | Individual | BLUESTONE ENTERPRISES | SOLE MEMBER | 07/2019 | > 75% |
| GOMEZ, JOHN, ASTOR | Individual | TIMBERLINE ROAD, LLC | PRINCIPAL | 01/2019 | > 75% |