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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CHARLES FISH INVESTMENTS, INC.

CRD 110445

IRVINE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a6803764-a446-c25f-33c9-0abe86d453be

Data as of Jul 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 5
On other graphs: 0
Observed: Mar 28, 2012 to Jul 3, 2026
26 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $331MItem 5.F on the latest filing (2026-07-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $331M
Private client RAUM: $326MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $82.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 46
Individual clients: 42
SEC number: 801-52674
CRD: 110445
Filings on the tape: 26
First filed: Mar 28, 2012
Latest filed: Jul 3, 2026
Organised: Corporation, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CHARLES WILLARD FISH	n/a	IRVINE, CA	16	30	2	no
BETSY CAMPBELL SHELTON	n/a	IRVINE, CA \| SUMMERVILLE, SC	16	43	2	no
ANH HOAI TRAN	n/a	IRVINE, CA	11	12	n/a	no
Tuan A Ly	n/a	IRVINE, CA	0	12	3	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BLUESTONE ENTERPRISES	Manager	C	yes	06/2019	Sep 1, 2020	Nov 26, 2024
BLUESTONE ENTERPRISES, LLC	Shareholder	D	yes	07/2020	Sep 1, 2020	Nov 26, 2024
BOOTHE, JAMES, RALPH	SOLE MEMBER	E	yes	07/2019	Sep 1, 2020	Nov 26, 2024
BRENTVIEW INVESTMENT MANAGEMENT, LLC	Shareholder	D	yes	07/2020	Sep 1, 2020	Nov 26, 2024
CHAKRABORTY, SHARMISTHA	CHIEF COMPLIANCE OFFICER (01/2014), CHIEF OPERATIONS OFFICER & VICE PRESIDENT	Na	yes	12/2012	Mar 20, 2013	Nov 26, 2024
FISH, CHARLES, WILLARD	PRESIDENT, CEO, & CHIEF INVESTMENT OFFICER	Na	yes	10/1996	Mar 28, 2012	Nov 26, 2024
GOMEZ, JOHN, ASTOR	Principal	E	yes	01/2019	Sep 1, 2020	Nov 26, 2024
TIMBERLINE ROAD, LLC	Manager	C	yes	01/2019	Sep 1, 2020	Nov 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BRENTVIEW INVESTMENT MANAGEMENT, LLC	n/a	Mixed wealth	$266M	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 12, 2026	$331M	$331M	5	4	0	n/a	n/a
2024	Jan 17, 2025	$342M	$342M	5	3	0	n/a	n/a
2023	Feb 28, 2024	$356M	$356M	5	3	0	n/a	n/a
2022	Feb 13, 2023	$298M	$298M	5	3	0	n/a	n/a
2021	Jan 28, 2022	$318M	$318M	5	3	0	n/a	n/a
2020	Mar 9, 2021	$320M	$320M	5	3	0	n/a	n/a
2019	Mar 4, 2020	$348M	$348M	5	3	0	n/a	n/a
2018	Feb 21, 2019	$374M	$374M	5	3	0	n/a	n/a
2017	Mar 9, 2018	$574M	$416M	5	3	0	n/a	n/a
2016	Mar 21, 2017	$597M	$359M	7	4	n/a	n/a	n/a
2015	Mar 15, 2016	$595M	$366M	7	4	n/a	n/a	n/a
2014	Mar 11, 2015	$579M	$361M	6	4	n/a	n/a	n/a
2013	Mar 28, 2014	$548M	$336M	6	3	n/a	n/a	n/a
2012	Mar 20, 2013	$562M	$345M	6	3	n/a	n/a	n/a
2011	Mar 28, 2012	$642M	$394M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$331M	$342M	-3.1%	$298M	3.6%	5	5	0	0

Relationships

Affiliated with (2)

→ BRENTVIEW INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← BRENTVIEW INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (4)

← Tuan A LyAdvisorregistration: current employment
Mar 11, 2026 to presentfactForm ADV
← ANH HOAI TRANAdvisorregistration: current employment
Feb 20, 2015 to presentfactForm ADV
← CHARLES WILLARD FISHAdvisorregistration: previous registration
Sep 12, 1996 to Dec 31, 2009factForm ADV
← BETSY CAMPBELL SHELTONAdvisorregistration: previous registration
Apr 15, 1997 to Dec 31, 2009factForm ADV

Controls (7)

← FISH, CHARLES, WILLARDOwnerPRESIDENT, CEO, & CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 28, 2012 to Nov 26, 2024factForm ADV
← BOOTHE, JAMES, RALPHOwnerSOLE MEMBER, ownership code E, individual
Sep 1, 2020 to Nov 26, 2024factForm ADV
← GOMEZ, JOHN, ASTOROwnerPRINCIPAL, ownership code E, individual
Sep 1, 2020 to Nov 26, 2024factForm ADV
← BRENTVIEW INVESTMENT MANAGEMENT, LLCOwnerSHAREHOLDER, ownership code D, domestic entity
Sep 1, 2020 to Nov 26, 2024factForm ADV
← CHAKRABORTY, SHARMISTHAOwnerCHIEF COMPLIANCE OFFICER (01/2014), CHIEF OPERATIONS OFFICER & VICE PRESIDENT, ownership code NA, individual
Mar 20, 2013 to Nov 26, 2024factForm ADV
← BLUESTONE ENTERPRISESOwnerMANAGER, ownership code C, domestic entity
Sep 1, 2020 to Nov 26, 2024factForm ADV
← TIMBERLINE ROAD, LLCOwnerMANAGER, ownership code C, domestic entity
Sep 1, 2020 to Nov 26, 2024factForm ADV

Dated events

Occurred
Sep 1, 2020
Control person left
Campbell Betsy Shelton (Director Of Research, Senior Portfolio Manager) no longer on Schedule A of Charles Fish Investments, Inc. (listed 2020-06-12, absent 2020-09-01)
Form ADVobserved 6 days ago
Occurred
Sep 1, 2020
Control person left
Kennedy Diane Fish (Director, Co-Trustee Fish Family Trust Dtd 05/06/1994) no longer on Schedule A of Charles Fish Investments, Inc. (listed 2020-06-12, absent 2020-09-01)
Form ADVobserved 6 days ago
Occurred
Sep 1, 2020
Control person joined
Ralph James Boothe (Sole Member) appeared on Schedule A of Charles Fish Investments, Inc.
Form ADVobserved 6 days ago
Occurred
Sep 1, 2020
Control person joined
Astor John Gomez (Principal) appeared on Schedule A of Charles Fish Investments, Inc.
Form ADVobserved 6 days ago
Occurred
Feb 21, 2019
Regulatory AUM changed
Charles Fish Investments, Inc. reported RAUM $374.1M, down 35% from $573.7M (2018-03-09 to 2019-02-21)
Form ADVobserved 6 days ago
$-200M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6803764-a446-c25f-33c9-0abe86d453be
First observed: Mar 28, 2012
Last observed: Jul 3, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CHARLES FISH INVESTMENTS, INC.

CRD 110445

IRVINE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a6803764-a446-c25f-33c9-0abe86d453be

Data as of Jul 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:19 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHARLES WILLARD FISH

n/a

IRVINE, CA

BETSY CAMPBELL SHELTON

n/a

IRVINE, CA | SUMMERVILLE, SC

ANH HOAI TRAN

n/a

IRVINE, CA

n/a

Tuan A Ly

n/a

IRVINE, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLUESTONE ENTERPRISES

Manager

yes

06/2019

Sep 1, 2020

Nov 26, 2024

BLUESTONE ENTERPRISES, LLC

Shareholder

yes

07/2020

Sep 1, 2020

Nov 26, 2024

BOOTHE, JAMES, RALPH

SOLE MEMBER

yes

07/2019

Sep 1, 2020

Nov 26, 2024

BRENTVIEW INVESTMENT MANAGEMENT, LLC

Shareholder

yes

07/2020

Sep 1, 2020

Nov 26, 2024

CHAKRABORTY, SHARMISTHA

CHIEF COMPLIANCE OFFICER (01/2014), CHIEF OPERATIONS OFFICER & VICE PRESIDENT

yes

12/2012

Mar 20, 2013

Nov 26, 2024

FISH, CHARLES, WILLARD

PRESIDENT, CEO, & CHIEF INVESTMENT OFFICER

yes

10/1996

Mar 28, 2012

Nov 26, 2024

GOMEZ, JOHN, ASTOR

Principal

yes

01/2019

Sep 1, 2020

Nov 26, 2024

TIMBERLINE ROAD, LLC

Manager

yes

01/2019

Sep 1, 2020

Nov 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRENTVIEW INVESTMENT MANAGEMENT, LLC

n/a

Mixed wealth

$266M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 12, 2026

$331M

n/a

2024

Jan 17, 2025

$342M

n/a

2023

Feb 28, 2024

$356M

n/a

2022

Feb 13, 2023

$298M

n/a

2021

Jan 28, 2022

$318M

n/a

2020

Mar 9, 2021

$320M

n/a

2019

Mar 4, 2020

$348M

n/a

2018

Feb 21, 2019

$374M

n/a

2017

Mar 9, 2018

$574M

$416M

n/a

2016

Mar 21, 2017

$597M

$359M

n/a

2015

Mar 15, 2016

$595M

$366M

n/a

2014

Mar 11, 2015

$579M

$361M

n/a

2013

Mar 28, 2014

$548M

$336M

n/a

2012

Mar 20, 2013

$562M

$345M

n/a

2011

Mar 28, 2012

$642M

$394M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$331M

$342M

-3.1%

$298M

3.6%