DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• F••• I••••••••• I•••
Latest filing Jul 3, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Aug 13, 1996
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$326M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$82.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$331M as of Jul 3, 2026
Mar 28, 2012$642M then
HNW client RAUM$5.7M as of Jul 3, 2026
Mar 9, 2018$13.9M then
State-registered IARs (5.B.3)4 as of Jul 3, 2026
Mar 20, 20133 then
Employees (5.A)5 as of Jul 3, 2026
Mar 20, 20136 then
Private funds: no history
RAUM -3.1% over the last fiscal year+3.6% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jul 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $82.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $7.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$321M97%
- High-net-worth individuals$5.7M1.7%
- Corporations and businesses$4.9M1.5%
- Individual clients
- 42reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 46reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C••••••• S•••••• | Irvine, Ca | Jan 12, 2010 | 43 y | 2 |
| C•••••• W•••••• F••• | Irvine, Ca | Jan 12, 2010 | 30 y | 2 |
| A•• H••• T••• | Irvine, Ca | Feb 20, 2015 | 12 y | 0 |
| T••• A• L• | Irvine, Ca | Mar 11, 2026 | 12 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••• C••••••• S•••••• to R•••••••• M•••••••• A•••••••• L••Dec 31, 2009 · Other
- C•••••• W•••••• F••• to R•••••••• M•••••••• A•••••••• L••Dec 31, 2009 · Other
Joined, latest
- T••• A• L• from C••••• I••••••••• A••••••• L••Mar 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• C••••••• S•••••• from R•••••••• M•••••••• A•••••••• L••Jan 12, 2010 · Other
- C•••••• W•••••• F••• from R•••••••• M•••••••• A•••••••• L••Jan 12, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• S••••••••• · Chief Compliance Officer (01/2014), Chief Operations Officer & Vice Presidentcontrolsince 12/2012 · owns less than 5%
- F•••• C••••••• W•••••• · President, Ceo, & Chief Investment Officercontrolsince 10/1996 · owns less than 5%
- B•••••• J••••• R•••• · Sole Membercontrolsince 07/2019 · owns 75% or more of B•••••••• E•••••••••
- G••••• J•••• A•••• · Principalcontrolsince 01/2019 · owns 75% or more of T••••••••• R•••• L••
Entity owners
- B•••••••• E••••••••• L•• · Shareholderdirect · owns 50% to 75%
- B•••••••• I••••••••• M••••••••• L•• · Shareholderdirect · owns 50% to 75%
- B•••••••• E••••••••• · Managerindirect · owns 25% to 50% of B•••••••• I••••••••• M••••••••• L••
- T••••••••• R•••• L•• · Managerindirect · owns 25% to 50% of B•••••••• I••••••••• M••••••••• L••
Related persons
Schedule D 7.A
- B•••••••• I••••••••• M••••••••• L••investment adviseryRAUM $233M
Advisers that list C•••••• F••• I••••••••• I••• as a related person
- 300409 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 51 to 46Jan 17, 2025 to Mar 12, 2026
- Advisory employees · 3 to 4Jan 17, 2025 to Mar 12, 2026
- State-registered IARs · 3 to 4Jan 17, 2025 to Mar 12, 2026
- Discretionary RAUM · $342M to $331MJan 17, 2025 to Mar 12, 2026
- HNW RAUM · $4.6M to $5.7MJan 17, 2025 to Mar 12, 2026
- Individual RAUM · $306M to $321MJan 17, 2025 to Mar 12, 2026
- RAUM · $342M to $331MJan 17, 2025 to Mar 12, 2026
- Accounts · 61 to 51Nov 26, 2024 to Jan 17, 2025
- Individual clients · 49 to 42Nov 26, 2024 to Jan 17, 2025
- Financial planning clients · unset to Nov 26, 2024 to Jan 17, 2025
- Discretionary RAUM · $356M to $342MNov 26, 2024 to Jan 17, 2025
- HNW RAUM · $5.7M to $4.6MNov 26, 2024 to Jan 17, 2025
- Individual RAUM · $317M to $306MNov 26, 2024 to Jan 17, 2025
- RAUM · $356M to $342MNov 26, 2024 to Jan 17, 2025
- Accounts · 59 to 61Feb 13, 2023 to Feb 28, 2024
- HNW clients · 4.0 to unsetFeb 13, 2023 to Feb 28, 2024
- Individual clients · 44 to 49Feb 13, 2023 to Feb 28, 2024
- Discretionary RAUM · $298M to $356MFeb 13, 2023 to Feb 28, 2024
- HNW RAUM · $9.7M to $5.7MFeb 13, 2023 to Feb 28, 2024
- Individual RAUM · $263M to $317MFeb 13, 2023 to Feb 28, 2024
- RAUM · $298M to $356MFeb 13, 2023 to Feb 28, 2024
- Accounts · 48 to 59Nov 9, 2022 to Feb 13, 2023
- Individual clients · 37 to 44Nov 9, 2022 to Feb 13, 2023
- Discretionary RAUM · $318M to $298MNov 9, 2022 to Feb 13, 2023
- HNW RAUM · $10.0M to $9.7MNov 9, 2022 to Feb 13, 2023
- Individual RAUM · $283M to $263MNov 9, 2022 to Feb 13, 2023
- RAUM · $318M to $298MNov 9, 2022 to Feb 13, 2023
- Accounts · 52 to 48Jul 16, 2021 to Jan 28, 2022
- HNW clients · 5 to 4Jul 16, 2021 to Jan 28, 2022
- Individual clients · 43 to 37Jul 16, 2021 to Jan 28, 2022
- Discretionary RAUM · $320M to $318MJul 16, 2021 to Jan 28, 2022
- HNW RAUM · $11.9M to $10.0MJul 16, 2021 to Jan 28, 2022
- Individual RAUM · $285M to $283MJul 16, 2021 to Jan 28, 2022
- RAUM · $320M to $318MJul 16, 2021 to Jan 28, 2022
- Accounts · 53 to 52Sep 1, 2020 to Mar 9, 2021
- Individual clients · 44 to 43Sep 1, 2020 to Mar 9, 2021
- Discretionary RAUM · $348M to $320MSep 1, 2020 to Mar 9, 2021
- HNW RAUM · $13.2M to $11.9MSep 1, 2020 to Mar 9, 2021
- Individual RAUM · $313M to $285MSep 1, 2020 to Mar 9, 2021
- RAUM · $348M to $320MSep 1, 2020 to Mar 9, 2021
Signals
5 dated events
- Campbell Betsy Shelton (Director Of Research, Senior Portfolio Manager) no longer on Schedule A of C•••••• F••• I••••••••• I••• (listed 2020-06-12, absent 2020-09-01)Sep 1, 2020 · Control person left · inference
- Kennedy Diane Fish (Director, Co-Trustee Fish Family Trust Dtd 05/06/1994) no longer on Schedule A of C•••••• F••• I••••••••• I••• (listed 2020-06-12, absent 2020-09-01)Sep 1, 2020 · Control person left · inference
- Ralph James Boothe (Sole Member) appeared on Schedule A of C•••••• F••• I••••••••• I•••Sep 1, 2020 · Control person joined · fact
- Astor John Gomez (Principal) appeared on Schedule A of C•••••• F••• I••••••••• I•••Sep 1, 2020 · Control person joined · fact
- C•••••• F••• I••••••••• I••• reported RAUM $374.1M, down 35% from $573.7M (2018-03-09 to 2019-02-21)Feb 21, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- sharmi@charlesfishinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-296-3970reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••F•••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-296-3970reportedpublic record, Form ADV, Jul 3, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $82.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026