Fuller & Thaler Asset Management Inc (San Mateo)

Name: Fuller & Thaler Asset Management Inc
Address: 411 Borel Avenue, San Mateo, CA, 94402
Telephone: 650-931-1500

Fuller & Thaler Asset Management Inc is a large advisory firm based in San Mateo. It manages $7.28 billion of regulatory assets for 1,328 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Fuller & Thaler Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, 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.

Fuller & Thaler Asset Management: assets under management

The assets under management (AUM) of Fuller & Thaler Asset Management Inc is $7.28 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 397% since the beginning of its operation, and $8.66 million of the total AUM is attributable to clients outside of the United States.

The firm manages $7.28 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.48 million each.

Investments

The firm invests in exchange traded securities the most. They account for 88% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 11% of the firm’s portfolio. Investments in derivatives form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Fuller & Thaler Asset Management Inc for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Russell Jay Fuller serves?

The firm provides services to individuals, investment companies, charitable organizations, other investment advisers, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Russell Jay Fuller is investment companies with 7 clients and $5.62 billion of assets under management. Among the 8 most similar advisory firms, Fuller & Thaler Asset Management has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $7.27 billion for 1,318 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Fuller & Thaler Asset Management doesn't advise any private funds.

Careers at Fuller & Thaler Asset Management Inc

The company employs 21 people that are either part- or full-time employees. 57 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Russell Jay Fuller has been acting as President since 1 Apr 1993. Yining Tung joined the executive team most recently as the Board Member/Partner/Head Of Risk Management & Investment Process Analyst.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Russell Jay Fuller	Board member/president/trustee of fuller revocable trust and fuller family voting trust	1 Apr 1993	25% - 50%	215673
Anne Mitchell Fuller	Secretary/treasurer	1 Apr 1993	Other	4352869
Richard H. Thaler	Board member/principal	1 Jan 1998	Other	4352871
Frederick William Stanske	Board member/partner/head of domestic strategies	1 Jan 1998	Other	2562520
John Lee Kling	Board member	1 Jan 1998	Other	826616
Frederick Stanske	Board member	1 Jan 1998	Other	2562520
Fuller Revocable Trust (Co Trustees: Russell Fuller & Anne Fuller)	Shareholder	1 May 1998	Other	xxx-xx-xxxx
Anne Mitchell Fuller	Co-trustee of fuller revocable trust	1 May 1998	Other	4352869
Fuller Revocable Trust (Co Trustees: Russell Jay Fuller & Anne Mitchell Fuller)	Shareholder	1 May 1998	Other	xxx-xx-xxxx
Richard Arthur Hermann	Compliance officer	1 Nov 1999	Other	4352872
Thomas Gordon Fuller	Board member/partner/director of marketing & client relations	1 May 2000	Other	2579737
Theodore K. Fuller	Shareholder	1 May 2000	Other	5414507
Kathryn M. Lingenfelter	Shareholder	1 May 2000	Other	5414508
Theodore Kent Fuller	Shareholder	1 May 2000	Other	5414507
Kathryn Mitchell Lingenfelter	Shareholder	1 May 2000	Other	5414508
Brian Christopher Hayes	Operations specialist/compliance	1 Oct 2000	Other	4683753
Stephen David Bard	Chief operating officer	1 Aug 2001	Other	2615921
Joseph Siuchung Leung	Board member/head of global & international strategies	1 May 2002	Other	4694706
Fuller Family Voting Trust (Trustee: Russell J. Fuller)	Shareholder	1 Jun 2003	Other	xxx-xx-xxxx
Fuller Family Voting Trust (Trustee: Russell Jay Fuller)	Shareholder	1 Jun 2003	Other	xxx-xx-xxxx
Fuller Revocable Trust (Trustee: Russell J. Fuller)	Trust	1 Jun 2003	25% - 50%	xxx-xx-xxxx
Daniel Kahneman	Board member	1 Jul 2003	Other	5412991
Martin Mitchell Fawzy	Cco	1 Jun 2004	Other	4424481
Thomas Gordon Fuller	Director of relationship management	1 Mar 2005	Other	2579737
Hanna Woo Zanoni	Board member/partner/chief financial, chief legal, and chief compliance officer	1 May 2006	Other	4863347
Joseph Siuchung Leung	Board member/head of global & international strategies	1 May 2006	Other	4694706
Fernando Villegas	Board member/partner/director of trading	1 Nov 2009	Other	3227168
Raymond Lin	Board member/partner/portfolio manager	1 Nov 2009	Other	4693964
David Michael Potter	Board member/partner/portfolio manager	1 Nov 2009	Other	4426308
Raymond Deh Lin	Board member/partner/portfolio manager	1 Nov 2009	Other	4693964
Daniel Kahneman	Board member emeritus	1 Jan 2013	Other	5412991
George Edward Stubbins	Board member/partner/director of marketing & client relations	1 Jan 2013	Other	5103613
Raife Brandon Giovinazzo	Board member/partner/director of research	1 Feb 2013	Other	6400347
Raife Brandon Giovinazzo	Board member/partner/portfolio manager/director of research	1 Jun 2014	Other	6400347
Yining Tung	Board member/partner/head of risk management & investment process analyst	1 Jul 2016	Other	6775839

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Russell Jay Fuller	Co-trustee and settlor	1 May 1998	75% - 100%	215673
Russell Jay Fuller	Trustee	1 Jun 2003	75% - 100%	215673

Based in San Mateo

The principal office where Fuller & Thaler Asset Management Inc performs its advisory services is located at 411 Borel Avenue, San Mateo, CA 94402, which is also the mailing address of the firm. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 650-931-1500 or by fax 650-931-1501. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at fullerthaler.com.