Lathrop, CA Office

Sophis Investments is a small team advisory firm (five advisors serving a limited number of client relationships) that provides discretionary portfolio management and tailored investment advisory services to individuals, high‑net‑worth clients, trusts, estates, endowments, foundations, pooled investment vehicles, and certain businesses. The firm manages separately managed accounts, will accept investor‑imposed restrictions in writing, and does not provide comprehensive financial planning as part of its services.

The firm follows a concentrated, bottom‑up fundamental equity approach that targets a limited number of long positions (generally fewer than 20) across geographies, sectors, and market capitalizations, distinguishing between broadly undervalued “generals” and event‑driven “special situations.” Research is driven by company filings, financial statements and other primary sources, with an intent toward long‑term holdings and relatively low turnover, and senior personnel retain final investment authority.

What is distinctive for a team firm is Sophis’s use of performance‑based fees for qualified clients (typically 10–20% of net capital appreciation, subject to a high‑watermark and SEC‑defined qualification thresholds of $1 million under management or $2 million net worth) and its management of pooled investment vehicles alongside individual accounts—features that are relatively uncommon among peers. The firm discloses procedures to allocate trades and investment opportunities, occasional cross‑trades and sub‑management arrangements, and reliance on custodians such as Schwab and Pershing for execution and custody.