BOW RIVER ADVISERS, LLC
Adviser information for BOW RIVER ADVISERS, LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| 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 | 1 | $461.1M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $461.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $461.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-127488 |
|---|---|
| SEC ERA File Number | 801-127488 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 325285 |
| Legal Entity Identifier | None |
Principal Office
205 DETROIT STSUITE #800
DENVER
CO
United States
Monday - Friday, 8AM-5PM
Tel: (303) 861-8466, Fax: None
Chief Compliance Officer
JAMES KERR
GENERAL COUNSEL
205 DETROIT ST
SUITE #800
DENVER
CO
United States
Tel:
720-574-9639
K***@******************M
(Full email address available in API data)
Regulatory Contact
SARAH CHRISTENSEN
DEPUTY CHIEF COMPLIANCE OFFICER
205 DETROIT ST
SUITE #800
DENVER
CO
United States
Tel:
720-574-9705
C**********@******************M
(Full email address available in API data)
Industry Affiliates
| APOGEM CAPITAL LLC | Other investment adviser, including financial planners |
| AUSBIL INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CAPITAL | Other investment adviser, including financial planners |
| BOW RIVER CAPITAL 2019 SOFTWARE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CAPITAL PARTNERS IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CAPITAL PARTNERS NON-US IV, LTD | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CAPITAL RE I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CAPITAL RE II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CAPITAL RE III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CAPITAL SOFTWARE GROWTH EQUITY FUND II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER CREDIT OPPORTUNITIES FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOW RIVER PRIVATE EQUITY III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BRC OZ 1 LLC | Sponsor, GP, manager of pooled investment vehicles |
| BRC OZ 2 LLC | Sponsor, GP, manager of pooled investment vehicles |
| BRC OZ 3 LLC | Sponsor, GP, manager of pooled investment vehicles |
| BRC OZ 4 LLC | Sponsor, GP, manager of pooled investment vehicles |
| BRC OZ 5 LLC | Sponsor, GP, manager of pooled investment vehicles |
| CANDRIAM S.C.A. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EAGLE STRATEGIES LLC | Other investment adviser, including financial planners |
| FLATIRON RR LLC, MANAGER SERIES | Other investment adviser, including financial planners |
| INDEXIQ ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| KARTESIA MANAGEMENT S.A. | Other investment adviser, including financial planners |
| LIFE INSURANCE COMPANY OF NORTH AMERICA | Insurance company or agency |
| MACKAY SHIELDS EUROPE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| MACKAY SHIELDS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| MACKAY SHIELDS UK LLP | Other investment adviser, including financial planners |
| NEW YORK LIFE ENTERPRISES LLC | Insurance company or agency |
| NEW YORK LIFE GROUP INSURANCE COMPANY OF NY | Insurance company or agency |
| NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
| NEW YORK LIFE INVESTMENT MANAGEMENT ASIA LIMITED | Other investment adviser, including financial planners |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
| NEW YORK LIFE TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles |
| NYL INVESTORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| NYLIFE DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NYLIFE INSURANCE COMPANY OF ARIZONA | Insurance company or agency |
| NYLIFE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NYLINK INSURANCE AGENCY INC. | Insurance company or agency |
| SEGUROS MONTERREY NEW YORK LIFE, S.A. DE C.V. | Insurance company or agency |
| TRISTAN CAPITAL PARTNERS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RICHARDSON, BLAIR, ELLARD | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2023 | < 5% |
| DAVIS, JAMISON, REID | Individual | – | CHIEF FINANCIAL OFFICER | 02/2023 | < 5% |
| KERR, JAMES, DANIEL | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
| INGALLS, JANE, CLAYTON | Individual | – | CHIEF OPERATING OFFICER | 02/2023 | < 5% |
| HELD, JEREMY, DAVID | Individual | – | MANAGING DIRECTOR | 02/2023 | 10-25% |
| TRIHY, MICHAEL, JAMES | Individual | – | DIRECTOR | 02/2023 | < 5% |
| BOW RIVER ASSET MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 02/2023 | 50-75% |
| BOW RIVER ASSET MANAGEMENT CORPORATION II | Domestic Entity | BOW RIVER ASSET MANAGEMENT, LLC | MEMBER | 02/2023 | > 75% |
| RICHARDSON, BLAIR, ELLARD | Individual | BOW RIVER ASSET MANAGEMENT CORPORATION II | OFFICER, DIRECTOR, SHAREHOLDER | 02/2023 | 25-50% |
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | Domestic Entity | – | MANAGING MEMBER | 12/2023 | 25-50% |
| RICHARDSON 2012 TRUST | Domestic Entity | BOW RIVER ASSET MANAGEMENT CORPORATION II | SHAREHOLDER | 02/2023 | 25-50% |
| DZMK ADVISORS, INC. | Domestic Entity | RICHARDSON 2012 TRUST | TRUSTEE | 02/2023 | |
| NEW YORK LIFE INSURANCE COMPANY | Domestic Entity | NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC | INDIRECT INTEREST HOLDER | 12/1999 | > 75% |