BOW RIVER CAPITAL
BOW RIVER ASSET MANAGEMENT, LLC Legal Name
Adviser information for BOW RIVER CAPITAL 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 | Colorado, United States |
Employees
| Total Number of Employees | 48 |
|---|---|
| Investment Advisory/Research | 30 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 40 | $3.0B |
| Non-Discretionary | 0 | $0 |
| Total | 40 | $3.0B |
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 | 40 | $3.0B |
| 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 | 3 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesFEES FROM PORTFOLIO COMPANIES |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-72339 |
|---|---|
| SEC ERA File Number | 801-72339 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156765 |
| Legal Entity Identifier | None |
Principal Office
205 DETROIT STREETSUITE 800
DENVER
CO
United States
Monday - Friday, 8AM - 5PM
Tel: 303-861-8466, Fax: None
Chief Compliance Officer
JAMES KERR
GENERAL COUNSEL
205 DETROIT STREET
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 STREET
SUITE 800
DENVER
CO
United States
Tel:
720-574-9705
C**********@******************M
(Full email address available in API data)
Industry Affiliates
| BOW RIVER ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| 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 |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ACHH INVESTOR, LLC | Private Equity Fund | $36.6M | $0.0M | 6 |
| BOW RIVER CAPITAL 2017 CAYMAN FUND, LP | Private Equity Fund | $13.3M | $1.0M | 5 |
| BOW RIVER CAPITAL 2017 FUND, LP | Private Equity Fund | $15.0M | $0.5M | 21 |
| BOW RIVER CAPITAL 2017-QP FUND, LP | Private Equity Fund | $364.0M | $0.1M | 215 |
| BOW RIVER CAPITAL 2019 SOFTWARE GROWTH EQUITY FUND, LP | Private Equity Fund | $9.3M | $0.5M | 43 |
| BOW RIVER CAPITAL 2019-QP SOFTWARE GROWTH EQUITY FUND, LP | Private Equity Fund | $103.7M | $0.5M | 221 |
| BOW RIVER CAPITAL OZ I, LLC | Real Estate Fund | $37.3M | $0.3M | 44 |
| BOW RIVER CAPITAL OZ II, LLC | Real Estate Fund | $12.8M | $0.3M | 28 |
| BOW RIVER CAPITAL OZ III, LLC | Real Estate Fund | $55.6M | $0.3M | 68 |
| BOW RIVER CAPITAL OZ IV, LLC | Real Estate Fund | $21.9M | $0.3M | 49 |
| BOW RIVER CAPITAL OZ V, LLC | Real Estate Fund | $32.9M | $0.0M | 42 |
| BOW RIVER CAPITAL REAL ESTATE FUND I, LP | Real Estate Fund | $15.6M | $0.5M | 90 |
| BOW RIVER CAPITAL REAL ESTATE FUND II - QP, L.P. | Real Estate Fund | $60.4M | $0.5M | 144 |
| BOW RIVER CAPITAL REAL ESTATE FUND II - TE FEEDER, L.P. | Real Estate Fund | $2.4M | $0.2M | 14 |
| BOW RIVER CAPITAL REAL ESTATE FUND II, L.P. | Real Estate Fund | $9.0M | $0.5M | 33 |
| BOW RIVER CAPITAL SOFTWARE GROWTH EQUITY EXECUTIVE FUND II LP | Private Equity Fund | $32.3M | $0.0M | 7 |
| BOW RIVER CAPITAL SOFTWARE GROWTH EQUITY FUND II LP | Private Equity Fund | $35.2M | $0.0M | 89 |
| BOW RIVER CAPITAL SOFTWARE GROWTH EQUITY FUND II QP LP | Private Equity Fund | $562.7M | $0.0M | 499 |
| BOW RIVER CREDIT OPPORTUNITIES EXECUTIVE FUND, LP | Private Equity Fund | $0.8M | $0.0M | 3 |
| BOW RIVER CREDIT OPPORTUNITIES FUND, LP | Private Equity Fund | $110.1M | $0.3M | 60 |
| BOW RIVER CREDIT OPPORTUNITIES INSTITUTIONAL FUND, LP | Private Equity Fund | $21.9M | $0.3M | 45 |
| BOW RIVER CREDIT OPPORTUNITIES MASTER FUND, LP | Private Equity Fund | $163.8M | $0.0M | 4 |
| BOW RIVER GENERAL PARTNERS 2017, LP | Private Equity Fund | $16.9M | $0.1M | 18 |
| BOW RIVER GENERAL PARTNERS 2019 SOFTWARE FUND, LP | Private Equity Fund | $8.1M | $0.0M | 25 |
| BOW RIVER II COINVEST I LP | Real Estate Fund | $10.8M | $5.0M | 22 |
| BOW RIVER PRIVATE EQUITY FUND III - B LP | Private Equity Fund | $118.1M | $0.0M | 131 |
| BOW RIVER PRIVATE EQUITY FUND III LP | Private Equity Fund | $460.8M | $0.0M | 220 |
| BRC PE III EXECUTIVE FUND LP | Private Equity Fund | $24.4M | $0.0M | 32 |
| BRCGP REAL ESTATE II, LP | Real Estate Fund | $4.8M | $0.5M | 15 |
| BRCGP REAL ESTATE, LP | Real Estate Fund | $2.1M | $0.0M | 14 |
| MST INFRASTRUCTURE AGGREGATOR I, LLC | Private Equity Fund | $19.1M | $0.0M | 7 |
| MST INFRASTRUCTURE AGGREGATOR II, LLC | Private Equity Fund | $0.3M | $0.0M | 4 |
| NEN AGGREGATOR, LLC | Private Equity Fund | $103.4M | $0.7M | 8 |
| NEN INVESTOR, LLC | Private Equity Fund | $249.4M | $4.5M | 5 |
| PR AGGREGATOR, LLC | Private Equity Fund | $338.9M | $0.0M | 4 |
| XYL COINVEST ACQUISITION CO, LLC | Private Equity Fund | $3.3M | $0.0M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RICHARDSON, BLAIR, ELLARD | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2019 | < 5% |
| BOW RIVER ASSET MANAGEMENT CORPORATION II | Domestic Entity | – | MEMBER | 01/2020 | 50-75% |
| RICHARDSON 2012 TRUST | Domestic Entity | BOW RIVER ASSET MANAGEMENT CORPORATION II | SHAREHOLDER | 01/2020 | 25-50% |
| RICHARDSON, BLAIR, ELLARD | Individual | BOW RIVER ASSET MANAGEMENT CORPORATION II | OFFICER, DIRECTOR AND SHAREHOLDER | 01/2020 | 25-50% |
| DAVIS, JAMISON, R | Individual | – | CHIEF FINANCIAL OFFICER | 08/2019 | < 5% |
| KERR, JAMES, DANIEL | Individual | – | CHIEF COMPLIANCE OFFICER AND SENIOR COUNSEL | 07/2021 | < 5% |
| INGALLS, JANE, CLAYTON | Individual | – | CHIEF OPERATING OFFICER | 01/2022 | < 5% |
| WEICHERT ENTERPRISE, LLC | Domestic Entity | – | MEMBER | 01/2020 | 10-25% |
| WEICHERT, JAMES, MARTIN | Individual | WEICHERT ENTERPRISE, LLC | MANAGING MEMBER | 04/2000 | > 75% |
| DZMK ADVISORS, INC. | Domestic Entity | RICHARDSON 2012 TRUST | TRUSTEE | 01/2020 |