Caris Investment Partners

Caris Investment Partners is a state-registered independent investment adviser that provides ongoing portfolio management and related advisory services to individuals, trusts, estates, charitable organizations, retirement plan participants, small businesses, high‑net‑worth individuals and certain business entities. The firm reports approximately $48.4 million in discretionary assets under management across roughly 62 client accounts and also offers non‑discretionary ERISA plan investment advice to retirement plans.

The firm’s investment process emphasizes active portfolio management grounded in fundamental research with supplemental technical analysis, using a mix of individual equities, fixed income, ETFs, closed‑end funds, REITs and other instruments across distinct strategies (e.g., mid/large‑cap growth, value and blend; high‑yield CEF/ETF/equity; synthetic ETF; international equities; taxable and tax‑free fixed income; and target allocation ETF portfolios). The firm generally manages accounts on a discretionary basis, performs periodic rebalancing, and states it typically does not accept client‑imposed restrictions on specific securities.

Compared with many solo independent advisers, the firm also provides institutional services—assisting plan sponsors with investment policy statements, selection and monitoring of plan investment options, QDIA recommendations, and serving under third‑party service provider arrangements with custodial trustees. The firm’s brochure discloses a recent state regulatory settlement involving the firm’s principal related to personal custodial accounts for family members that was resolved with restitution and an administrative penalty; the disclosure notes the matter arose from custodial activity and did not involve firm client accounts.