River Associates Investments, LLC (Chattanooga)

Name: River Associates Investments, LLC
Address: 633 Chestnut Street, Chattanooga, TN, 37450
Telephone: 423-755-0888

River Associates Investments, LLC is a large advisory firm based in Chattanooga. It manages $182.06 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of Tennessee.

River Associates Investments provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

River Associates Investments: assets under management

The assets under management (AUM) of River Associates Investments, LLC is $182.06 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -28% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $182.06 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $26.01 million each.

River Associates Investments has custody of $118.7 million in cash and securities for 7 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay River Associates Investments, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at River Associates Investments, LLC

River Associates Investments, LLC is owned by William Craig Baker. Blake Tyler Lewis joined the executive team most recently as the Vice President Of Registrant And Relying Advisor.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
George Holmes Patten Pettway	Chairman of relying adviser river associates, llc	1 Mar 1995	Other	5931449
James Buford Baker	President of relying adviser river associates, llc	1 Mar 1995	Other	5931453
Tim Taylor Morris	Member of relying adviser river associates, llc	1 Mar 1995	Other	6175838
Michael Dean Brookshire	Secretary of relying adviser river associates, llc	1 Mar 1996	Other	5931461
John Marshall Jones	Assistant secretary of relying adviser river associates, llc	1 Jan 2001	Other	5931456
George Holmes Patten Pettway	Member of relying adviser river associates, llc	1 Jan 2001	Other	5931435
Courtney Layne Cudd	Cco / cfo for registrant and relying adviser	1 May 2001	Other	5930501
Lp Pantheon Total Fund	Owner	1 May 2001	Other	62-1696976
George Holmes Patten Pettway	Assistant secretary	1 May 2001	Other	5931435
James Buford Baker	President & chief manager	1 May 2001	Other	5931453
John Marshall Jones	Assistant secretary	1 May 2001	Other	5931456
Michael Dean Brookshire	Vice president & secretary	1 May 2001	Other	5931461
William Craig Baker	Owner	1 May 2001	Other	5931464
George Holmes Patten Pettway	Owner of relying adviser river associates investments, lp	1 Dec 2016	Other	5931449
James Buford Baker	Chairman of relying adviser river associates investments, lp	1 Dec 2016	Other	5931453
Michael Dean Brookshire	President of of relying adviser river associates investments, lp	1 Dec 2016	Other	5931461
John Marshall Jones	Vice president of of relying adviser river associates investments, lp	1 Dec 2016	Other	5931456
William Craig Baker	Vp and secretary of of relying adviser river associates investments, lp	1 Dec 2016	Other	5931464
Lp Pantheon Total Fund	Owner of relying adviser river associates investments, lp	1 Dec 2016	Other	62-1696976
Blake Tyler Lewis	Vice president of registrant and relying advisor	1 Jan 2017	Other	5292652
Benjamin S Vyule	Vice president of registrant and relying adviser	1 Jan 2017	Other	5690360

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Lp Tuscan Partners	Lp	1 Oct 1997	25% - 50%	62-1712330
2006 Mills Family Trust	Lp	1 Jan 2006	75% - 100%	20-6842277
Norma Mills	Trustee	1 Jan 2006	Other	6014243
Sharon Mills	Trustee	1 Jan 2006	Other	6014244

Based in Chattanooga

The principal office where River Associates Investments, LLC performs its advisory services is located at 633 Chestnut Street, Chattanooga, TN 37450, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 423-755-0888 or by fax 423-755-0870. The normal business hours are 8am - 5pm on Monday - Friday. You can find more information about the New York firm at riverassociatesllc.com/.