Caris Investment Partners

The firm provides ongoing investment advisory and portfolio management services to individuals, trusts, estates, charitable organizations, retirement plan participants, small businesses and high-net-worth clients under an Investment Management Agreement. Services include tailored portfolio construction, security selection, asset allocation and regular monitoring for both discretionary and non-discretionary accounts.

The firm’s investment approach emphasizes establishing a long-term plan based on each client’s goals, time horizon, liquidity needs and tax considerations, applying fundamental analysis with technical factors for timing and active security selection. Offerings span actively managed equity and fixed-income strategies, high-yield closed-end fund/ETF blends, synthetic ETF implementations for smaller accounts and target-allocation ETF portfolios, with periodic rebalancing as market or client circumstances change.

Distinctive for a firm of its size, it provides non‑discretionary ERISA plan advisory services and serves as a third‑party service provider for retirement plans, documenting processes for rollovers, IPS development and plan monitoring—an institutional capability that is uncommon among similar independent advisers. The brochure also discloses that the firm’s principal resolved a 2025 regulatory matter involving personal custodial accounts via a settlement and repayment; the firm characterizes the matter as personal and unrelated to firm operations.