RIVERROCK ASSET MANAGEMENT LLC
Adviser information for RIVERROCK ASSET MANAGEMENT LLC last updated from Form ADV on March 12th, 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 | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 4 | $148.3M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $148.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $148.3M |
| 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 | 50 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesLIFE SETTLEMENT POLICY ACQUISITION FEES |
Identifiers
| SEC RIA File Number | 801-127848 |
|---|---|
| SEC ERA File Number | 801-127848 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 147691 |
| Legal Entity Identifier | None |
Principal Office
500 W. 2ND STREETSUITE 1575
AUSTIN
TX
United States
Monday - Friday, 9:00AM - 5:00PM CST
Tel: 713-375-1300, Fax: 713-587-9450
Chief Compliance Officer
AMY SPRINGS
GENERAL COUNSEL
500 W. 2ND STREET
SUITE 1575
AUSTIN
TX
United States
Tel:
713-375-1300
Fax:
713-587-9450
A*******@*****************M
(Full email address available in API data)
Regulatory Contact
CATHY VASILEV
CONSULTANT
1320 ARROW POINT DR. SUITE 411
CEDAR PARK
TX
United States
Tel:
512-796-3299
C*******@*******************M
(Full email address available in API data)
Industry Affiliates
| RIVERROCK LONGEVITY FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RRIM VI, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RRIM VII, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RRIM VIII, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RIVERROCK LONGEVITY FUND I, LP | LIFE SETTLEMENT FUND | $5.3M | $1.7M | 2 |
| RRIF VI, LP - QC SERIES 2 | LIFE SETTLEMENT FUND | $27.7M | $0.3M | 47 |
| RRIF VI, LP - QP SERIES 1 | LIFE SETTLEMENT FUND | $53.9M | $0.3M | 138 |
| RRIF VII, LP | LIFE SETTLEMENT FUND | $61.3M | $1.0M | 49 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Springs, Amy, Elizabeth | Individual | – | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | 02/2021 | < 5% |
| RENEGADE CAPITAL GP, LLC | Domestic Entity | – | SOLE MEMBER OF RIVERROCK ASSET MANAGEMENT LLC | 04/2008 | > 75% |
| SIEGEL, GABRIEL, MILES | Individual | RENEGADE CAPITAL GP, LLC | MANAGING MEMBER | 05/2007 | 25-50% |
| OSBORNE, JONATHAN, MALLINCKRODT | Individual | RENEGADE CAPITAL GP, LLC | MANAGING MEMBER | 05/2007 | 25-50% |