FULLER INVESTMENT MANAGEMENT COMPANY
Adviser information for FULLER INVESTMENT MANAGEMENT COMPANY last updated from Form ADV on March 26th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 73 | $213.3M |
| Non-Discretionary | 0 | $0 |
| Total | 73 | $213.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 47 | $15.3M |
| HNW Individuals | 19 | $34.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $156.5M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 2 | $7.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 3 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-78317 |
|---|---|
| SEC ERA File Number | 801-78317 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167467 |
| Legal Entity Identifier | None |
Principal Office
135 NORTH OAKLAND AVENUEPASADENA
CA
United States
Monday - Friday, 8AM - 5PM
Tel: 626-765-8450, Fax: 626-765-8451
Chief Compliance Officer
BRIAN RIETZE
CHIEF FINANCIAL OFFICER
135 NORTH OAKLAND AVENUE
PASADENA
CA
United States
Tel:
626-765-8450
Fax:
626-765-8451
B******@******************M
(Full email address available in API data)
Regulatory Contact
TODD B. DERRICK
INTERIM PRESIDENT
135 NORTH OAKLAND AVENUE
PASADENA
CA
United States
Tel:
626-765-8450
Fax:
626-765-8451
T*******@******************M
(Full email address available in API data)
Industry Affiliates
| THE FULLER FOUNDATION | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FULLER ENDOWMENT FUND, LLC | ENDOWMENT FUND | $154.0M | $0.0M | 2 |
| FULLER FOUNDATION FUND, LP | Hedge Fund | $1.4M | $0.3M | 1 |
| FULLER PRIVATE EQUITY FUND, LP | Private Equity Fund | $0.3M | $0.3M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE FULLER FOUNDATION | Domestic Entity | – | OWNER | 01/2013 | > 75% |
| Rietze, Brian | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER | 01/2022 | < 5% |
| DERRICK, TODD, B | Individual | – | INTERIM PRESIDENT | 08/2023 | < 5% |