Charles Fish Investments, Inc

CRD#110445
Investment Advisor Firm

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Overview

Charles Fish Investments, Inc operates as a financial advisory company headquartered in Irvine, California. The firm manages $347.9 million in total assets throughout 53 client accounts, placing it in the mid-tier of investment advisory firms in the nation by assets under management (AUM). The company has a small group of five employees, three of whom are financial advisors. Charles Fish Investments, Inc is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its accounts and those of its customers and instead must go through a broker-dealer firm to do so. Securities are defined as tradable financial assets such as bonds, options and equities.

Charles Fish Investments, Inc manages all of the company's client assets in a discretionary manner. Discretionary management is a structure in which an investment advisor has the discretion to make transaction choices without requiring the customer's approval. The company supervises about $6.6 million for every client account. The average financial advisor at Charles Fish Investments, Inc administers around 18 client accounts, making it one of the more individualized advisor firms in the country.

The firm's main office is at 2010 Main Street, Irvine, California 92614. The company is legally registered to serve customers throughout a number of states, including California and Texas.

Assets Under Management

$347.9 million

Number of Advisors

3

Disclosures

No

Office Location

2010 Main Street
Irvine, CA 92614

Charles Fish Investments, Inc by the Numbers

Total Assets Under Management

$347.9 million

National Average: $3.7 billion
Total Number of Employees

5

National Average: 29
Total Number of Accounts

53

National Average: 2,073
Average Account Size

$6.6 million

National Average: $1.8 million

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Fee Structure

Financial management fees largely depend on which services the firm provides the client. Fees charged by the company likely include the following fee structures: asset-based or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the company.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The firm works with retail investors and high net worth investors. Out of its 53 accounts, Charles Fish Investments, Inc's biggest client is retail investors, though it also manages money for five high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's customers are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 10.2%
  • Other Individuals - 89.8%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Charles Fish Investments, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Charles Fish Investments, Inc

Anh Tran
Irvine, CA
Charles Fish
Irvine, CA
Betsy Shelton
Irvine, CA

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This content was compiled from the SEC and FINRA