RIVER STREET ADVISORS, LLC
Adviser information for RIVER STREET ADVISORS, LLC last updated from Form ADV on February 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 748 | $310.3M |
| Non-Discretionary | 6 | $5.9M |
| Total | 754 | $316.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 275 | $102.9M |
| HNW Individuals | 90 | $198.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $460,092 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 8 | $14.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
37 S. RIVER STREETAURORA
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 630-906-5501, Fax: None
Chief Compliance Officer
DAVID B. BACH
CHIEF COMPLIANCE OFFICER
37 SOUTH RIVER STREET
AURORA
IL
United States
Tel:
630-906-2002
D****@**********************M
(Full email address available in API data)
Regulatory Contact
RICHARD A. GARTLEMANN, JR.
CHIEF EXECUTIVE OFFICER
37 SOUTH RIVER STREET
AURORA
IL
United States
Tel:
630-844-5730
R**********@**********************M
(Full email address available in API data)
Industry Affiliates
| OLD SECOND NATIONAL BANK | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OLD SECOND BANK | Domestic Entity | – | SOLE MEMBER | 04/2010 | > 75% |
| GARTELMANN, RICHARD, A. | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2011 | < 5% |
| MEVES, STEVEN, C | Individual | – | MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER | 06/2018 | < 5% |
| BACH, DAVID, BRENNAN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2018 | < 5% |
| RUNNBERG, JACQUELINE, ANN | Individual | – | MANAGING DIRECTOR/WEALTH ADVISOR | 06/2018 | < 5% |
| JOHNSON, BRADLEY, JOSEPH | Individual | – | MANAGING DIRECTOR/SENIOR PORTFOLIO MANAGER | 06/2018 | < 5% |
| CAVA, MICHAEL, THOMAS | Individual | – | MANAGING DIRECTOR/SENIOR PORTFOLIO MANAGER | 08/2018 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 19K | 183 | – |
| ABBOTT LABS | COM | 631K | 6K | – |
| ABBVIE INC | COM | 77K | 450 | – |
| ABBVIE INC | COM | 14K | 84 | – |
| ABBVIE INC | COM | 2M | 9K | – |
| ADOBE INC | COM | 769K | 1K | – |
| AES CORP | COM | 296K | 17K | – |
| ALBEMARLE CORP | COM | 279K | 3K | – |
| ALPHABET INC | CAP STK CL A | 3M | 15K | – |
| ALPHABET INC | CAP STK CL C | 454K | 2K | – |
| ALTRIA GROUP INC | COM | 220K | 5K | – |
| AMAZON COM INC | COM | 2M | 11K | – |
| AMGEN INC | COM | 186K | 594 | – |
| AMPLIFY ETF TR | AMPLIFY CYBERSEC | 203K | 3K | – |
| APPLE INC | COM | 66K | 313 | – |
| APPLE INC | COM | 285K | 1K | – |
| APPLE INC | COM | 6M | 30K | – |
| APTIV PLC | SHS | 262K | 4K | – |
| ARISTA NETWORKS INC | COM | 442K | 1K | – |
| BADGER METER INC | COM | 664K | 4K | – |
| BARCLAYS BANK PLC | IPATH SELCT MLP | 460K | 18K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 53K | 130 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 1M | 3K | – |
| BLACKROCK INC | COM | 17K | 21 | – |
| BLACKROCK INC | COM | 2M | 2K | – |
| BLACKSTONE INC | COM | 48K | 385 | – |
| BLACKSTONE INC | COM | 13K | 107 | – |
| BLACKSTONE INC | COM | 2M | 14K | – |
| BROADCOM INC | COM | 19K | 12 | – |
| BROADCOM INC | COM | 3M | 2K | – |
| CATERPILLAR INC | COM | 3M | 9K | – |
| CF INDS HLDGS INC | COM | 298K | 4K | – |
| CHEVRON CORP NEW | COM | 490K | 3K | – |
| CISCO SYS INC | COM | 26K | 550 | – |
| CISCO SYS INC | COM | 7K | 141 | – |
| CISCO SYS INC | COM | 624K | 13K | – |
| COINBASE GLOBAL INC | COM CL A | 202K | 910 | – |
| COMCAST CORP NEW | CL A | 1K | 31 | – |
| COMCAST CORP NEW | CL A | 3K | 72 | – |
| COMCAST CORP NEW | CL A | 552K | 14K | – |
| CORNING INC | COM | 10K | 252 | – |
| CORNING INC | COM | 670K | 17K | – |
| COSTCO WHSL CORP NEW | COM | 16K | 19 | – |
| COSTCO WHSL CORP NEW | COM | 2M | 2K | – |
| CUMMINS INC | COM | 12K | 45 | – |
| CUMMINS INC | COM | 14K | 52 | – |
| CUMMINS INC | COM | 2M | 6K | – |
| DANAHER CORPORATION | COM | 605K | 2K | – |
| DEERE & CO | COM | 637K | 2K | – |
| DISCOVER FINL SVCS | COM | 14K | 108 | – |
| DISCOVER FINL SVCS | COM | 1M | 9K | – |
| DISNEY WALT CO | COM | 622K | 6K | – |
| EATON CORP PLC | SHS | 19K | 59 | – |
| EATON CORP PLC | SHS | 2M | 6K | – |
| ELI LILLY & CO | COM | 225K | 248 | – |
| ELI LILLY & CO | COM | 12K | 13 | – |
| ELI LILLY & CO | COM | 3M | 3K | – |
| ENBRIDGE INC | COM | 13K | 352 | – |
| ENBRIDGE INC | COM | 796K | 22K | – |
| EOG RES INC | COM | 1K | 8 | – |
| EOG RES INC | COM | 10K | 78 | – |
| EOG RES INC | COM | 1M | 9K | – |
| FEDERATED HERMES ETF TRUST | HERMES TOTAL RET | 694 | 28 | – |
| FEDERATED HERMES ETF TRUST | HERMES TOTAL RET | 808K | 33K | – |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 463K | 8K | – |
| FISERV INC | COM | 264K | 2K | – |
| FORTINET INC | COM | 229K | 4K | – |
| FRANKLIN TEMPLETON ETF TR | FRANKLIN INDIA | 25K | 632 | – |
| FRANKLIN TEMPLETON ETF TR | FRANKLIN INDIA | 3M | 78K | – |
| GE AEROSPACE | COM NEW | 376K | 2K | – |
| GLOBAL X FDS | S&P 500 COVERED | 36K | 900 | – |
| GLOBAL X FDS | S&P 500 COVERED | 3M | 79K | – |
| HOME DEPOT INC | COM | 11K | 31 | – |
| HOME DEPOT INC | COM | 1M | 4K | – |
| HONEYWELL INTL INC | COM | 42K | 195 | – |
| HONEYWELL INTL INC | COM | 11K | 53 | – |
| HONEYWELL INTL INC | COM | 1M | 5K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 CB | 13K | 648 | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 HY | 3K | 127 | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2026 CB | 20K | 1K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2024 MUNI | 298K | 12K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 CB | 2M | 74K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 HY | 1M | 45K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 MUNI | 330K | 14K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2026 CB | 2M | 92K | – |
| INVESCO QQQ TR | UNIT SER 1 | 369K | 770 | – |
| ISHARES INC | CORE MSCI EMKT | 378K | 7K | – |
| ISHARES SILVER TR | ISHARES | 314K | 12K | – |
| ISHARES TR | CORE S&P MCP ETF | 107K | 2K | – |
| ISHARES TR | CORE S&P TTL STK | 17K | 140 | – |
| ISHARES TR | CRE U S REIT ETF | 590 | 11 | – |
| ISHARES TR | CORE DIV GRWTH | 338K | 6K | – |
| ISHARES TR | CORE MSCI EAFE | 1M | 15K | – |
| ISHARES TR | CORE S&P MCP ETF | 11M | 184K | – |
| ISHARES TR | CORE S&P TTL STK | 359K | 3K | – |
| ISHARES TR | CORE S&P500 ETF | 762K | 1K | – |
| ISHARES TR | CRE U S REIT ETF | 647K | 12K | – |
| ISHARES TR | MBS ETF | 619K | 7K | – |
| ISHARES TR | MSCI AC ASIA ETF | 230K | 3K | – |
| ISHARES TR | RUSSELL 2000 ETF | 280K | 1K | – |
| ISHARES TR | S&P 500 GRWT ETF | 786K | 8K | – |
| ISHARES TR | S&P 500 VAL ETF | 323K | 2K | – |
| ISHARES TR | S&P MC 400GR ETF | 653K | 7K | – |
| ISHARES TR | S&P MC 400VL ETF | 561K | 5K | – |
| J P MORGAN EXCHANGE TRADED F | US QUALTY FCTR | 399K | 8K | – |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 340K | 7K | – |
| JOHNSON & JOHNSON | COM | 15K | 102 | – |
| JOHNSON & JOHNSON | COM | 2M | 12K | – |
| JPMORGAN CHASE & CO. | COM | 31K | 153 | – |
| JPMORGAN CHASE & CO. | COM | 13K | 64 | – |
| JPMORGAN CHASE & CO. | COM | 4M | 21K | – |
| KLA CORP | COM NEW | 14K | 17 | – |
| KLA CORP | COM NEW | 2M | 2K | – |
| LKQ CORP | COM | 285K | 7K | – |
| LOCKHEED MARTIN CORP | COM | 266K | 570 | – |
| LOWES COS INC | COM | 309K | 1K | – |
| MASTERCARD INCORPORATED | CL A | 995K | 2K | – |
| MATTHEWS INTL FDS | PACIFIC TIGER AC | 27K | 1K | – |
| MATTHEWS INTL FDS | PACIFIC TIGER AC | 4M | 158K | – |
| MCDONALDS CORP | COM | 18K | 69 | – |
| MCDONALDS CORP | COM | 9K | 36 | – |
| MCDONALDS CORP | COM | 1M | 4K | – |
| MEDTRONIC PLC | SHS | 5K | 63 | – |
| MEDTRONIC PLC | SHS | 918K | 12K | – |
| MERCADOLIBRE INC | COM | 544K | 331 | – |
| METLIFE INC | COM | 4K | 58 | – |
| METLIFE INC | COM | 8K | 121 | – |
| METLIFE INC | COM | 1M | 18K | – |
| MICROSOFT CORP | COM | 97K | 216 | – |
| MICROSOFT CORP | COM | 13K | 28 | – |
| MICROSOFT CORP | COM | 5M | 12K | – |
| MONDELEZ INTL INC | CL A | 439K | 7K | – |
| MORGAN STANLEY | COM NEW | 11K | 118 | – |
| MORGAN STANLEY | COM NEW | 2M | 17K | – |
| NEXTERA ENERGY INC | COM | 17K | 236 | – |
| NEXTERA ENERGY INC | COM | 7K | 101 | – |
| NEXTERA ENERGY INC | COM | 913K | 13K | – |
| NORFOLK SOUTHN CORP | COM | 811K | 4K | – |
| NORTHROP GRUMMAN CORP | COM | 7K | 16 | – |
| NORTHROP GRUMMAN CORP | COM | 551K | 1K | – |
| NUVEEN DYNAMIC MUN OPPORTUNI | COM SHS | 183K | 17K | – |
| NVIDIA CORPORATION | COM | 7M | 55K | – |
| PACKAGING CORP AMER | COM | 7K | 36 | – |
| PACKAGING CORP AMER | COM | 889K | 5K | – |
| PEPSICO INC | COM | 4K | 27 | – |
| PEPSICO INC | COM | 14K | 83 | – |
| PEPSICO INC | COM | 1M | 8K | – |
| PIMCO MUN INCOME FD II | COM | 93K | 11K | – |
| PROCTER AND GAMBLE CO | COM | 8K | 51 | – |
| PROCTER AND GAMBLE CO | COM | 12K | 71 | – |
| PROCTER AND GAMBLE CO | COM | 1M | 7K | – |
| PROLOGIS INC. | COM | 252K | 2K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 14K | 187 | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 1M | 14K | – |
| PULTE GROUP INC | COM | 753K | 7K | – |
| QUALCOMM INC | COM | 13K | 63 | – |
| QUALCOMM INC | COM | 1M | 7K | – |
| QUANTA SVCS INC | COM | 527K | 2K | – |
| REGENERON PHARMACEUTICALS | COM | 530K | 504 | – |
| ROPER TECHNOLOGIES INC | COM | 471K | 836 | – |
| SELECT SECTOR SPDR TR | ENERGY | 494K | 5K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 201K | 1K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 484K | 6K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 432K | 3K | – |
| SERVICENOW INC | COM | 223K | 283 | – |
| SHOPIFY INC | CL A | 550K | 8K | – |
| SOFI TECHNOLOGIES INC | COM | 312K | 47K | – |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 3K | 88 | – |
| SPDR INDEX SHS FDS | PORTFOLIO EMG MK | 453 | 12 | – |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 688K | 20K | – |
| SPDR INDEX SHS FDS | PORTFOLIO EMG MK | 402K | 11K | – |
| SPDR S&P 500 ETF TR | PUT | 2M | – | – |
| SPDR S&P 500 ETF TR | TR UNIT | 3M | 5K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 421K | 787 | – |
| SPDR SER TR | PORTFOLIO INTRMD | 21K | 644 | – |
| SPDR SER TR | PORTFOLIO S&P400 | 873 | 17 | – |
| SPDR SER TR | PORTFOLIO S&P500 | 27K | 426 | – |
| SPDR SER TR | PORTFOLIO S&P600 | 623 | 15 | – |
| SPDR SER TR | PRTFLO S&P500 GW | 1K | 14 | – |
| SPDR SER TR | PRTFLO S&P500 VL | 2K | 43 | – |
| SPDR SER TR | PORTFOLIO INTRMD | 2M | 60K | – |
| SPDR SER TR | PORTFOLIO S&P400 | 723K | 14K | – |
| SPDR SER TR | PORTFOLIO S&P500 | 4M | 67K | – |
| SPDR SER TR | PORTFOLIO S&P600 | 1M | 27K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 942K | 12K | – |
| SPDR SER TR | PRTFLO S&P500 VL | 1M | 31K | – |
| STARBUCKS CORP | COM | 2K | 30 | – |
| STARBUCKS CORP | COM | 10K | 128 | – |
| STARBUCKS CORP | COM | 1M | 13K | – |
| STRYKER CORPORATION | COM | 643K | 2K | – |
| T ROWE PRICE ETF INC | FLOATING RATE | 207 | 4 | – |
| T ROWE PRICE ETF INC | FLOATING RATE | 338K | 7K | – |
| TESLA INC | COM | 439K | 2K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 305K | 551 | – |
| UNILEVER PLC | SPON ADR NEW | 7K | 131 | – |
| UNILEVER PLC | SPON ADR NEW | 790K | 14K | – |
| UNITED PARCEL SERVICE INC | CL B | 685 | 5 | – |
| UNITED PARCEL SERVICE INC | CL B | 7K | 49 | – |
| UNITED PARCEL SERVICE INC | CL B | 523K | 4K | – |
| VALERO ENERGY CORP | COM | 16K | 102 | – |
| VALERO ENERGY CORP | COM | 2M | 11K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 38K | 453 | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 4M | 50K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 653K | 1K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 345K | 2K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 254K | 951 | – |
| VANGUARD INDEX FDS | VALUE ETF | 437K | 3K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 24K | 366 | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 4M | 55K | – |
| VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | 831K | 14K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 459K | 3K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 5K | 44 | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 1M | 9K | – |
| VANGUARD WORLD FD | UTILITIES ETF | 7K | 44 | – |
| VANGUARD WORLD FD | UTILITIES ETF | 589K | 4K | – |
| VERIZON COMMUNICATIONS INC | COM | 5K | 126 | – |
| VERIZON COMMUNICATIONS INC | COM | 5K | 120 | – |
| VERIZON COMMUNICATIONS INC | COM | 646K | 16K | – |
| WALMART INC | COM | 61K | 900 | – |
| WALMART INC | COM | 777K | 11K | – |
| WELLTOWER INC | COM | 317K | 3K | – |
| ZOETIS INC | CL A | 377K | 2K | – |