Fuller Investment Management Company (Pasadena)

Name: Fuller Investment Management Company
Address: 385 E. Colorado Blvd., Pasadena, CA, 91101
Telephone: 626-765-8450

Fuller Investment Management Company is a large advisory firm based in Pasadena. It manages $213.5 million of regulatory assets for 69 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdiction of California.

Fuller Investment Management Company provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fuller Investment Management Company: assets under management

The assets under management (AUM) of Fuller Investment Management Company is $213.5 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -29% since the beginning of its operation, and $1.19 million of the total AUM is attributable to clients outside of the United States.

The firm manages $213.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.09 million each.

Fuller Investment Management Company has custody of $170.69 million in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 57% of the total AUM. The second-largest asset type is exchange traded securities, which make up 27% of the firm’s portfolio. Investments in pooled investment vehicles form 8% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Fuller Investment Management Company for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Thomas Philip Harbolt serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and pooled investment vehicles. The largest group of clients of Thomas Philip Harbolt is pooled investment vehicles with 5 clients and $170.69 million of assets under management. Among the 6 most similar advisory firms, Fuller Investment Management Company has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $213.5 million for 69 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 3% of the firm’s clients are foreign persons or businesses.

Fuller Investment Management Company also advises several private funds. Namely, one hedge fund, one other private fund, and one private equity fund. The minimum investment commitment required of non-related persons ranges from $0 to $250,000.

Careers at Fuller Investment Management Company

The company employs 11 people that are either part- or full-time employees. 18 percent of the employees work as investment advisers or researchers. 2 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Thomas Philip Harbolt has been acting as President since 1 Jan 2013. Evan Pan joined the executive team most recently as the President And Chief Investment Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Philip Harbolt	President	1 Jan 2013	Other	5120449
Martin C Liu	Chief financial officer	1 Jan 2013	Other	4717380
The Fuller Foundation	Owner	1 Jan 2013	75% - 100%	95-4124436
Mark Arthur Wentzien	Chief legal officer and chief compliance officer	1 Mar 2014	Other	2888873
Daniel Lee Cooper	Chief financial officer & chief compliance officer	1 Dec 2015	Other	6631709
Evan Pan	President and chief investment officer	1 Jul 2016	Other	6507893

Based in Pasadena

The principal office where Fuller Investment Management Company performs its advisory services is located at 385 E. Colorado Blvd., Pasadena, CA 91101, 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 626-765-8450 or by fax 626-765-8451. The normal business hours are 8am - 5pm on Monday - Friday. You can find more information about the New York firm at fullerinvesting.com and its LinkedIn profile.