First Principles Investment Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$11,699,327
Clients
30
Advisors
1
of 1 employees
About
First Principles Investment Management is a small, independent advisory firm that serves individual clients through discretionary asset management and standalone financial planning and consulting. The firm manages roughly $11.8 million for about 30 individual clients and typically structures relationships around personalized investment objectives and risk tolerances.
The firm implements portfolios using fundamental analysis and tailor-made asset allocation, providing ongoing monitoring and periodic (at least quarterly) account reviews and performance reporting. It also offers alternative fee arrangements for eligible clients, subject to regulatory requirements and written agreements, alongside the firm’s standard asset-based and fixed-fee planning options.
What distinguishes this firm from many similarly sized independent advisers is its willingness to offer performance-based fee arrangements—a relatively uncommon option for solo practices—together with formal procedures to address related conflicts of interest. The lead advisor’s CFA credential and prior institutional equity research experience, combined with an active role in executive education, contribute institutional-style expertise within a small, boutique practice.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Financial planning flat fee of $5,000
0.75% annually
Annual fee of 0.5% of assets plus 20% of annual portfolio performance above an agreed benchmark
Account minimum: $100,000
Main office
Los Gatos CA
Advisors at this office
1
Most active in
California · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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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
Quick links
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