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Chief Compliance Officer (01/2014), Chief Operations Officer & Vice President · Charles Fish Investments, Inc.

Sharmistha Chakraborty

CRD 6170557 · Named on Form ADV at one SEC-registered adviser

At a glance

Charles Fish Investments, Inc., an SEC-registered wealth manager based in Irvine, CA with $331 million in regulatory assets, lists Sharmistha Chakraborty on its Form ADV as Chief Compliance Officer (01/2014), Chief Operations Officer & Vice President, a control person.

Firms and roles

  • Charles Fish Investments, Inc.Chief Compliance Officer (01/2014), Chief Operations Officer & Vice PresidentWealth manager · Irvine, CA · $331M in regulatory assets

AtlasMembers

Sharmistha’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
Locked
Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Charles W. FishPresident, CEO, & Chief Investment Officer, Charles Fish Investments, Inc.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Sharmistha’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.