F
Fish Advisory, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,845,517
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
3
33% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
3
LowAverage account size
$1,281,839
About
The firm provides discretionary portfolio management primarily to individual and high‑net‑worth clients. The firm also engages with at least one charitable organization, with the firm's principal serving as president of a 501(c)(3) nonprofit (Link Hands for Humanity), a client type that is uncommon among similar solo independent advisers.
Investment advice is tailored to each client's objectives and is typically delivered on a discretionary basis. The firm describes methods including fundamental analysis, long‑ and short‑term purchases and option‑writing strategies, and notes that tax efficiency is not a primary consideration unless specifically agreed in writing; trade execution is conducted through a major custodian relationship.
The practice operates as a very small, solo advisory firm with a limited number of accounts and a modest asset base, which differs from larger peers in scale and operational reach. The principal also maintains a separate leadership consulting business and may serve as trustee on certain accounts, arrangements that distinguish the firm’s service profile from most independent advisers.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Real estate investing
Active portfolio management
Fee options
$200,000 - $1,999,999: 1.5% $2,000,000+: 1.0%
Account minimum: $200,000 Minimum fee: Minimum annual fee of $3,000, may be waived at firm's discretion Fee-only: Annual fees based on assets under management as described; no commissions charged.
Main office location
Fish Advisory, LLC
Santa Fe NM, United States
Number of offices
1
Most active in
Fish Advisory, LLC has reported serving >5 clients in these states in the last 12 months.
New Mexico
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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