Charles Fish Investments, Inc. (Irvine)

Name: Charles Fish Investments, Inc.
Address: 2010 Main Street, Irvine, CA, 92614
Telephone: 949-296-3970

Charles Fish Investments, Inc. is a large advisory firm based in Irvine. It manages $374.13 million of regulatory assets for 54 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of California and Texas.

Charles Fish Investments provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Charles Fish Investments: assets under management

The assets under management (AUM) of Charles Fish Investments, Inc. is $374.13 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -33% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $374.13 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.93 million each.

Investments

The firm invests in state and local bonds the most. They account for 94% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio. Investments in exchange traded securities form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Charles Fish Investments, Inc. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Susan Marie Munson serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Susan Marie Munson is individuals with 48 clients and $350.31 million of assets under management. Among the 9 most similar advisory firms, Charles Fish Investments has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $357.19 million for 51 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Charles Fish Investments doesn't advise any private funds.

Careers at Charles Fish Investments, Inc.

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Susan Marie Munson has been acting as President since 1 Dec 2015. Sharmistha Chakraborty joined the executive team most recently as the Chief Compliance Officer (01/2014), Chief Operations Officer & Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Charles Willard Fish	Chairman, ceo, & chief investment officer, co-trustee fish family trust dtd 05/06/1994	1 Oct 1996	50% - 75%	1010653
Fish Family Trust Dtd 05/06/1994	Shareholder	1 Oct 1996	50% - 75%	xxx-xx-xxxx
Betsy Campbell Shelton	Director of research, senior portfolio manager	1 Nov 1996	Other	700558
Diane Kennedy Fish	Director, co-trustee fish family trust dtd 05/06/1994	1 Dec 2005	50% - 75%	6608526
Sharmistha Chakraborty	Chief compliance officer (01/2014), chief operations officer & vice president	1 Dec 2012	Other	6170557
Susan Marie Munson	Director	1 Dec 2015	Other	2009836

Based in Irvine

The principal office where Charles Fish Investments, Inc. performs its advisory services is located at 2010 Main Street, Irvine, CA 92614, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 949-296-3970 or by fax 949-296-3974. The normal business hours are 7:00am - 3:00pm on Monday - Friday. You can find more information about the New York firm at charlesfishinvestments.com.