RIVER ASSOCIATES INVESTMENTS (TN), LLC
Adviser information for RIVER ASSOCIATES INVESTMENTS (TN), LLC last updated from Form ADV on March 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 | Tennessee, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 4 | $775.5M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $775.5M |
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 | $775.5M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | Performance-based feesPERCENTAGE OF COMMITTED CAPITAL AND/OR INVESTED CAPITAL |
Identifiers
| SEC RIA File Number | 801-73852 |
|---|---|
| SEC ERA File Number | 801-73852 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158034 |
| Legal Entity Identifier | None |
Principal Office
633 CHESTNUT STREETSUITE 1640
CHATTANOOGA
TN
United States
Monday - Friday, 8:30AM - 5PM
Tel: 423-755-0888, Fax: 423-755-0870
Chief Compliance Officer
COURTNEY CUDD
TREASURER
633 CHESTNUT ST.
STE 1640
CHATTANOOGA
TN
United States
Tel:
(423)755-0888
Fax:
(423)755-0870
C****@******************M
(Full email address available in API data)
Regulatory Contact
CRAIG BAKER
PARTNER
633 CHESTNUT ST.
STE 1640
CHATTANOOGA
TN
United States
Tel:
423 755-0888
Fax:
423 755-0870
C*****@******************M
(Full email address available in API data)
Industry Affiliates
| RIVER ASSOCIATES VI, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIVER ASSOCIATES VII, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RIVER ASSOCIATES VIII, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RIVER VI PARALLEL, LP | Private Equity Fund | $7.3M | $5.0M | 15 |
| RIVER VI, LP | Private Equity Fund | $9.4M | $5.0M | 44 |
| RIVER VII, LP | Private Equity Fund | $407.0M | $5.0M | 48 |
| RIVER VIII, LP | Private Equity Fund | $351.6M | $5.0M | 51 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CUDD, COURTNEY, LAYNE | Individual | – | CCO/TREASURER | 05/2001 | < 5% |
| PANTHEON TOTAL FUND, LP | Domestic Entity | – | OWNER | 05/2001 | 5-10% |
| PETTWAY, GEORGE, HOLMES PATTEN | Individual | – | ASSISTANT SECRETARY | 05/2001 | 10-25% |
| PETTWAY, GEORGE, HOLMES PATTEN | Individual | – | OWNER | 05/2001 | < 5% |
| BAKER, JAMES, BUFORD | Individual | – | PRESIDENT & CHIEF MANAGER | 05/2001 | 10-25% |
| JONES, JOHN, MARSHALL | Individual | – | ASSISTANT SECRETARY | 05/2001 | 10-25% |
| BROOKSHIRE, MICHAEL, DEAN | Individual | – | VICE PRESIDENT & SECRETARY | 05/2001 | 10-25% |
| BAKER, WILLIAM, CRAIG | Individual | – | ASSISTANT SECRETARY | 05/2001 | 10-25% |
| TUSCAN PARTNERS, LP | Domestic Entity | PANTHEON TOTAL FUND, LP | LP | 10/1997 | 25-50% |
| 2006 MILLS FAMILY TRUST | Domestic Entity | TUSCAN PARTNERS, LP | LP | 01/2006 | > 75% |
| MILLS, NORMA | Individual | 2006 MILLS FAMILY TRUST | TRUSTEE | 01/2006 | |
| MILLS, JAMES, OLAN | Individual | 2006 MILLS FAMILY TRUST | TRUSTEE | 11/2020 |