Charlie Arestia
About Charlie Arestia
Charlie Arestia, age 39, serves as Managing Director and Head of Investor Relations at CION, a role he has held since March 2024; he also serves in the same capacity at CION Investment Management, LLC (CIM), the company’s investment adviser . He holds a B.A. from Johns Hopkins University and brings investor relations and specialty finance expertise from prior roles at Focus Financial Partners and J.P. Morgan, complemented by earlier experience in the U.S. Army and at GS Gamma Advisors (Guggenheim) . His remit includes coordinating all investor relations activities and deepening engagement with the investor community and equity analysts . Company revenue during his tenure is shown below.
Company Revenue During Tenure (for context)
| Metric | Q2 2024 | Q3 2024 | Q4 2024 | Q1 2025 | Q2 2025 | Q3 2025 |
|---|---|---|---|---|---|---|
| Revenue ($USD) | $2,342,000* | $5,803,000 | $5,877,000* | $3,983,000* | $1,712,000* | $9,629,000* |
Values retrieved from S&P Global for cells marked with an asterisk.
Past Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| Focus Financial Partners | Vice President (Investor Relations and M&A) | Jul 2021–Feb 2024 | Led peer analysis and shareholder targeting; managed relationships with equity analysts and investors; sourced and structured M&A in wealth management to drive organic growth . |
| J.P. Morgan | Equity Analyst (Specialty Finance coverage) | 2017–2021 | Covered credit cards, auto, student lenders, BDCs, and mortgage finance; domain expertise directly relevant to CION’s BDC investor base . |
| U.S. Army | Service Member | 2014–2017 | Assignments at Fort Benning, GA and Fort Bragg, NC; leadership and discipline background . |
| GS Gamma Advisors (Guggenheim Partners) | Analyst (MBS-focused hedge fund) | 2010 | Early-career analytical role in mortgage-backed securities . |
External Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| None | — | — | No public company directorships disclosed . |
Fixed Compensation
- Executive officers do not receive direct compensation from CION; services are provided by officers of CIM under the investment advisory and administration agreements, and CION reimburses CIM for allocable expenses, including officer costs .
- No pension or retirement benefits are paid by CION to directors or executive officers .
No disclosure of base salary, target bonus, actual bonus, or cash retainer for Mr. Arestia at the CIM level in CION filings. Skip detailed amounts per instruction.
Performance Compensation
- No disclosure of equity awards (RSUs, PSUs, options), performance metrics, targets, weightings, vesting schedules, clawbacks, or deferred compensation for Mr. Arestia in CION filings; executive compensation resides at CIM and is not reported at the company level .
Equity Ownership & Alignment
| Metric | Value | Source |
|---|---|---|
| Beneficial ownership (shares) | 1,301.28 | |
| Shares outstanding (record date) | 52,591,682 | |
| Ownership (% of outstanding) | ~0.0025% (1,301.28 / 52,591,682) | Computed from and |
- Hedging/monetization transactions in CION securities by directors and officers are prohibited without prior approval of the Chief Compliance Officer; insider trading policy applies across CION, CIM, and affiliates .
- Section 16 reporting: Company is not aware of any late/missing filings by directors or officers .
- No disclosure of pledging of shares, ownership guidelines, or compliance status in CION filings; skip per instruction.
Employment Terms
| Term | Details | Source |
|---|---|---|
| Appointment date | March 12, 2024; effective immediately | |
| Role(s) | Managing Director & Head of Investor Relations at CION and CIM | |
| Arrangements/understandings | None pursuant to which selected | |
| Family relationships | None with any director or executive officer | |
| Related-party transactions | None requiring Item 404(a) disclosure | |
| Contract term, severance, change-of-control | Not disclosed in CION filings; executive compensation/agreements at CIM are not reported | |
| Non-compete / non-solicit / garden leave | Not disclosed | — |
Investment Implications
- Alignment: Direct share ownership is modest (~0.0025% of outstanding), and there is no disclosure of equity awards, vesting, or ownership guidelines at CION, limiting visibility into equity-driven alignment and potential insider selling pressure .
- Governance and controls: Hedging/monetization restrictions and a robust insider trading policy reduce misalignment risk from derivatives or timing of trades; Section 16 compliance appears strong .
- Retention and transition risk: No employment agreement, severance, or change-of-control economics are disclosed at CION; compensation resides with CIM, reducing company-level transparency but also indicating that IR leadership continuity depends on adviser-level terms rather than CION board actions .
- Performance context: IR leadership with prior sell-side coverage in specialty finance and IR/M&A experience aligns with CION’s BDC investor base; revenue has fluctuated during his tenure, but compensation linkages to performance are not disclosed, limiting pay-for-performance analysis based on CION filings .