FISHER ASSET MANAGEMENT, LLC

http://www.fisher-investments-reviews.com/ CAMAS, WA Investment Advisor Hedge Fund How do I update this listing?

Fisher Asset Management is based out of Camas. Fisher Asset Management is a hedge fund with 69327 clients and discretionary assets under management (AUM) of $120,948,538,616 (Form ADV from 2020-09-30). Their last reported 13F filing for Q3 2020 included $114,146,379,000 in managed 13F securities and a top 10 holdings concentration of 33.94%. Fisher Asset Management's largest holding is Apple Inc with shares held of 58,694,648. Whalewisdom has at least 88 13F filings, and 89 13G filings

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09/30/2020

13F Activity

  • Market Value $114.259 Billion
  • Prior Market Value $102.461 Billion
  • New Purchases98 stocks
  • Additional Purchases323 stocks
  • Sold out of55 stocks
  • Reduced holdings in402 stocks
  • Top 10 Holdings % 33.91 %
  • Turnover % [1]:17.10%
  • Turnover Alt % [2]: 1.78 %
  • Time Held Top20:13.35 quarters
  • Time Held Top10:10.60 quarters
  • Time Held All:19.75 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

09/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-11-16

Performance for Q3 2020: 6.33%
Performance Last 4 Quarters: 26.51%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

FISHER INVESTMENTS
5525 NW FISHER CREEK DRIVE
CAMAS WA    98607-9911
Country: United States

Business Phone: 800-851-8845
Fax: 866-597-9707
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 3072
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 69327
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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FISHER ASSET MANAGEMENT, LLC

ownership team - last updated 2020-09-30
Name Title Start Date Direct/Indirect % Ownership
FISHER, KENNETH, LAWRENCE EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 05/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
SILK, JEFFERY, LEE VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 12/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1988-12-01
FISHER INVESTMENTS,INC. COO, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2001-02-28
FISHER INVESTMENTS,INC. COO, PRESIDENT, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-01-30
FISHER INVESTMENTS,INC. COO, PRESIDENT, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-07-08
FISHER INVESTMENTS,INC. VICE CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2016-04-05
TRIPLETT, STEVEN, ROBERT CHIEF OPERATING OFFICER, BOARD OF MANAGERS 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. ASSISTANT PRESIDENT direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, BOARD OF MANAGERS direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2001-12-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2001-12-01
ORNANI, DAMIAN, DAVID CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. EXECUTIVE VICE PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2004-01-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2005-01-01
FISHER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS direct 2016-07-01
FISHEL, THOMAS, CHAPMAN CHIEF COMPLIANCE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. VP - COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 1996-08-01
FISHER ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-01-01
FISHER INVESTMENTS, INC. MEMBER 04/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC MEMBER direct 2005-04-01
FISHER, NATHAN, C BOARD OF MANAGERS 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC BOARD OF MANAGERS direct 2013-06-01
FISHER, KENNETH, LAWRENCE CO-TRUSTEE FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
FISHER, SHERRILYN CO-TRUSTEE FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. SVP, CFO, CORPORATE SECRETARY direct 1981-04-01 2004-04-26
KENNETH L. FISHER AND SHERRILYN A. FISHER FAMILY TRUST AGREEMENT SHAREHOLDER FISHER INVESTMENTS, INC. 12/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2012-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISHER INVESTMENTS INSTITUTIONAL GROUP FRONTIER MARKETS EQUITY FUND United States 805-8937015104 Other Private Fund SECURITIES INVESTMENT FUND 6,304,928 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY FUND United States 805-1759996259 Other Private Fund SECURITIES INVESTMENT FUND 455,100,971 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND United States 805-3026703900 Other Private Fund SECURITIES INVESTMENT FUND 69,247,717 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FOREIGN EQUITY FUND United States 805-5151188691 Other Private Fund SECURITIES INVESTMENT FUND 156,110,666 5,000,000

FISHER ASSET MANAGEMENT, LLC

ownership team - last updated 2020-06-29
Name Title Start Date Direct/Indirect % Ownership
FISHER, KENNETH, LAWRENCE EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 05/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
SILK, JEFFERY, LEE VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 12/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1988-12-01
FISHER INVESTMENTS,INC. COO, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2001-02-28
FISHER INVESTMENTS,INC. COO, PRESIDENT, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-01-30
FISHER INVESTMENTS,INC. COO, PRESIDENT, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-07-08
FISHER INVESTMENTS,INC. VICE CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2016-04-05
TRIPLETT, STEVEN, ROBERT CHIEF OPERATING OFFICER, BOARD OF MANAGERS 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. ASSISTANT PRESIDENT direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, BOARD OF MANAGERS direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2001-12-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2001-12-01
ORNANI, DAMIAN, DAVID CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. EXECUTIVE VICE PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2004-01-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2005-01-01
FISHER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS direct 2016-07-01
FISHEL, THOMAS, CHAPMAN CHIEF COMPLIANCE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. VP - COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 1996-08-01
FISHER ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-01-01
FISHER INVESTMENTS, INC. MEMBER 04/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC MEMBER direct 2005-04-01
FISHER, NATHAN, C BOARD OF MANAGERS 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC BOARD OF MANAGERS direct 2013-06-01
FISHER, KENNETH, LAWRENCE CO-TRUSTEE FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
FISHER, SHERRILYN CO-TRUSTEE FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. SVP, CFO, CORPORATE SECRETARY direct 1981-04-01 2004-04-26
KENNETH L. FISHER AND SHERRILYN A. FISHER FAMILY TRUST AGREEMENT SHAREHOLDER FISHER INVESTMENTS, INC. 12/01/2012 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 2012-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISHER INVESTMENTS INSTITUTIONAL GROUP FRONTIER MARKETS EQUITY FUND United States 805-8937015104 Other Private Fund SECURITIES INVESTMENT FUND 6,304,928 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY FUND United States 805-1759996259 Other Private Fund SECURITIES INVESTMENT FUND 455,100,971 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND United States 805-3026703900 Other Private Fund SECURITIES INVESTMENT FUND 69,247,717 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FOREIGN EQUITY FUND United States 805-5151188691 Other Private Fund SECURITIES INVESTMENT FUND 156,110,666 5,000,000

FISHER ASSET MANAGEMENT, LLC

ownership team - last updated 2020-03-23
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISHER INVESTMENTS INSTITUTIONAL GROUP FRONTIER MARKETS EQUITY FUND United States 805-8937015104 Other Private Fund SECURITIES INVESTMENT FUND 6,304,928 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY FUND United States 805-1759996259 Other Private Fund SECURITIES INVESTMENT FUND 455,100,971 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND United States 805-3026703900 Other Private Fund SECURITIES INVESTMENT FUND 69,247,717 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FOREIGN EQUITY FUND United States 805-5151188691 Other Private Fund SECURITIES INVESTMENT FUND 156,110,666 5,000,000

FISHER ASSET MANAGEMENT, LLC

ownership team - last updated 2019-05-06
Name Title Start Date Direct/Indirect % Ownership
FISHER, KENNETH, LAWRENCE EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 05/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
SILK, JEFFERY, LEE VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 12/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1988-12-01
FISHER INVESTMENTS,INC. COO, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2001-02-28
FISHER INVESTMENTS,INC. COO, PRESIDENT, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-01-30
FISHER INVESTMENTS,INC. COO, PRESIDENT, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-07-08
FISHER INVESTMENTS,INC. VICE CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2016-04-05
TRIPLETT, STEVEN, ROBERT CHIEF OPERATING OFFICER, BOARD OF MANAGERS 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. ASSISTANT PRESIDENT direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, BOARD OF MANAGERS direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2001-12-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2001-12-01
ORNANI, DAMIAN, DAVID CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. EXECUTIVE VICE PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2004-01-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2005-01-01
FISHER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS direct 2016-07-01
FISHEL, THOMAS, CHAPMAN CHIEF COMPLIANCE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. VP - COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 1996-08-01
FISHER ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-01-01
FISHER INVESTMENTS, INC. MEMBER 04/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC MEMBER direct 2005-04-01
FISHER, NATHAN, C BOARD OF MANAGERS 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC BOARD OF MANAGERS direct 2013-06-01
FISHER, KENNETH, LAWRENCE SHAREHOLDER FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY FUND United States 805-3956021494 Other Private Fund SECURITIES INVESTMENT FUND 10,233,261 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FRONTIER MARKETS EQUITY FUND United States 805-8937015104 Other Private Fund SECURITIES INVESTMENT FUND 4,883,201 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY FUND United States 805-1759996259 Other Private Fund SECURITIES INVESTMENT FUND 427,340,413 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND United States 805-3026703900 Other Private Fund SECURITIES INVESTMENT FUND 55,530,060 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FOREIGN EQUITY FUND United States 805-5151188691 Other Private Fund SECURITIES INVESTMENT FUND 161,066,357 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY ESG FUND United States 805-8999669559 Other Private Fund SECURITIES INVESTMENT FUND 3,716,774 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN SMALL CAP EQUITY QUANT FUND United States 805-8953221068 Other Private Fund SECURITIES INVESTMENT FUND 928,268 5,000,000

FISHER ASSET MANAGEMENT, LLC

ownership team - last updated 2019-03-26
Name Title Start Date Direct/Indirect % Ownership
FISHER, KENNETH, LAWRENCE EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 05/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
SILK, JEFFERY, LEE VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 12/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1988-12-01
FISHER INVESTMENTS,INC. COO, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2001-02-28
FISHER INVESTMENTS,INC. COO, PRESIDENT, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-01-30
FISHER INVESTMENTS,INC. COO, PRESIDENT, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-07-08
FISHER INVESTMENTS,INC. VICE CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2016-04-05
TRIPLETT, STEVEN, ROBERT CHIEF OPERATING OFFICER, BOARD OF MANAGERS 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. ASSISTANT PRESIDENT direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, BOARD OF MANAGERS direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2001-12-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2001-12-01
ORNANI, DAMIAN, DAVID CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. EXECUTIVE VICE PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2004-01-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2005-01-01
FISHER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS direct 2016-07-01
FISHEL, THOMAS, CHAPMAN CHIEF COMPLIANCE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. VP - COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 1996-08-01
FISHER ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-01-01
FISHER INVESTMENTS, INC. MEMBER 04/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC MEMBER direct 2005-04-01
FISHER, NATHAN, C BOARD OF MANAGERS 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC BOARD OF MANAGERS direct 2013-06-01
FISHER, KENNETH, LAWRENCE SHAREHOLDER FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY FUND United States 805-3956021494 Other Private Fund SECURITIES INVESTMENT FUND 10,233,261 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FRONTIER MARKETS EQUITY FUND United States 805-8937015104 Other Private Fund SECURITIES INVESTMENT FUND 4,883,201 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY FUND United States 805-1759996259 Other Private Fund SECURITIES INVESTMENT FUND 427,340,413 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND United States 805-3026703900 Other Private Fund SECURITIES INVESTMENT FUND 55,530,060 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FOREIGN EQUITY FUND United States 805-5151188691 Other Private Fund SECURITIES INVESTMENT FUND 161,066,357 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN SMALL CAP EQUITY QUANT FUND United States 805-8953221068 Other Private Fund SECURITIES INVESTMENT FUND 928,268 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY ESG FUND United States 805-8999669559 Other Private Fund SECURITIES INVESTMENT FUND 3,716,774 5,000,000

FISHER ASSET MANAGEMENT, LLC

ownership team - last updated 2018-10-15
Name Title Start Date Direct/Indirect % Ownership
FISHER, KENNETH, LAWRENCE EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 05/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
SILK, JEFFERY, LEE VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 12/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1988-12-01
FISHER INVESTMENTS,INC. COO, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2001-02-28
FISHER INVESTMENTS,INC. COO, PRESIDENT, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-01-30
FISHER INVESTMENTS,INC. COO, PRESIDENT, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-07-08
FISHER INVESTMENTS,INC. VICE CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2016-04-05
TRIPLETT, STEVEN, ROBERT CHIEF OPERATING OFFICER, BOARD OF MANAGERS 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. ASSISTANT PRESIDENT direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, BOARD OF MANAGERS direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2001-12-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2001-12-01
ORNANI, DAMIAN, DAVID CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. EXECUTIVE VICE PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2004-01-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2005-01-01
FISHER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS direct 2016-07-01
FISHEL, THOMAS, CHAPMAN CHIEF COMPLIANCE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. VP - COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 1996-08-01
FISHER ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-01-01
FISHER INVESTMENTS, INC. MEMBER 04/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC MEMBER direct 2005-04-01
FISHER, NATHAN, C BOARD OF MANAGERS 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC BOARD OF MANAGERS direct 2013-06-01
FISHER, KENNETH, LAWRENCE SHAREHOLDER FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY FUND United States 805-3956021494 Other Private Fund SECURITIES INVESTMENT FUND 12,247,988 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FRONTIER MARKETS EQUITY FUND United States 805-8937015104 Other Private Fund SECURITIES INVESTMENT FUND 9,666,841 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY FUND United States 805-1759996259 Other Private Fund SECURITIES INVESTMENT FUND 515,950,831 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND United States 805-3026703900 Other Private Fund SECURITIES INVESTMENT FUND 49,433,721 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FOREIGN EQUITY FUND United States 805-5151188691 Other Private Fund SECURITIES INVESTMENT FUND 267,279,289 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN SMALL CAP EQUITY QUANT FUND United States 805-8953221068 Other Private Fund SECURITIES INVESTMENT FUND 7,303,811 5,000,000

FISHER ASSET MANAGEMENT, LLC

ownership team - last updated 2018-04-20
Name Title Start Date Direct/Indirect % Ownership
FISHER, KENNETH, LAWRENCE EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 05/01/1979 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05
SILK, JEFFERY, LEE VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE 12/01/1988 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1988-12-01
FISHER INVESTMENTS,INC. COO, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2001-02-28
FISHER INVESTMENTS,INC. COO, PRESIDENT, MEMBER OF THE INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-01-30
FISHER INVESTMENTS,INC. COO, PRESIDENT, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2004-07-08
FISHER INVESTMENTS,INC. VICE CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC VICE CHAIRMAN, VICE CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1988-12-01 2016-04-05
TRIPLETT, STEVEN, ROBERT CHIEF OPERATING OFFICER, BOARD OF MANAGERS 12/01/2001 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. ASSISTANT PRESIDENT direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER, BOARD OF MANAGERS direct 2001-12-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2001-12-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2001-12-01
ORNANI, DAMIAN, DAVID CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS 07/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
FISHER INVESTMENTS,INC. EXECUTIVE VICE PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC CO-PRESIDENT, BOARD OF MANAGERS direct 2004-01-01
FISHER INVESTMENTS,INC. CO-PRESIDENT direct 2004-01-01
FISHER ASSET MANAGEMENT, LLC PRESIDENT, CLIENT ACQUISITION AND SERVICE, BOARD OF MANAGERS direct 2005-01-01
FISHER ASSET MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS direct 2016-07-01
FISHEL, THOMAS, CHAPMAN CHIEF COMPLIANCE OFFICER 01/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. VP - COMPLIANCE REGISTERED OPTIONS PRINCIPAL direct 1996-08-01
FISHER ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2005-01-01
FISHER INVESTMENTS, INC. MEMBER 04/01/2005 Direct 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC MEMBER direct 2005-04-01
FISHER, NATHAN, C BOARD OF MANAGERS 06/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC BOARD OF MANAGERS direct 2013-06-01
FISHER, KENNETH, LAWRENCE SHAREHOLDER FISHER INVESTMENTS, INC. 12/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
FISHER ASSET MANAGEMENT, LLC EXECUTIVE CHAIRMAN, CHAIRMAN BOARD OF MANAGERS, CO-CHIEF INVESTMENT OFFICER, INVESTMENT POLICY COMMITTEE direct 1979-05-01
FISHER ASSET MANAGEMENT, LLC SHAREHOLDER indirect 1986-12-01
FISHER INVESTMENTS,INC. CEO, CHAIRMAN OF THE INVESTMENT POLICY COMMITTEE direct 1977-01-01 2004-01-30
FISHER INVESTMENTS,INC. CEO, CIO, CHAIRMAN, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2005-04-28
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1977-01-01 2006-02-23
FISHER ASSET MANAGEMENT, LLC CEO, CIO, CHAIRMAN BOARD OF MANAGERS, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2012-05-16
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-01-01 2015-11-03
FISHER ASSET MANAGEMENT, LLC CEO, CHAIRMAN BOARD OF MANAGERS, CO-CIO, INVESTMENT POLICY COMMITTEE direct 1979-05-01 2016-04-05
FISHER ASSET MANAGEMENT, LLC CHAIRMAN AND CHIEF EXECUTIVE OFFICER indirect 2005-04-01 2016-04-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN EQUITY FUND United States 805-3956021494 Other Private Fund SECURITIES INVESTMENT FUND 12,247,988 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FRONTIER MARKETS EQUITY FUND United States 805-8937015104 Other Private Fund SECURITIES INVESTMENT FUND 9,666,841 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP EMERGING MARKETS EQUITY FUND United States 805-1759996259 Other Private Fund SECURITIES INVESTMENT FUND 515,950,831 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP SMALL CAP VALUE FUND United States 805-3026703900 Other Private Fund SECURITIES INVESTMENT FUND 49,433,721 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP FOREIGN EQUITY FUND United States 805-5151188691 Other Private Fund SECURITIES INVESTMENT FUND 267,279,289 5,000,000
FISHER INVESTMENTS INSTITUTIONAL GROUP ALL FOREIGN SMALL CAP EQUITY QUANT FUND United States 805-8953221068 Other Private Fund SECURITIES INVESTMENT FUND 7,303,811 5,000,000

WhaleScore history for FISHER ASSET MANAGEMENT, LLC

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