RIVERTREE ADVISORS, LLC
Adviser information for RIVERTREE ADVISORS, LLC last updated from Form ADV on March 22nd, 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 | Florida, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 322 | $167.7M |
| Non-Discretionary | 11 | $992,834 |
| Total | 333 | $168.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 76 | $22.0M |
| HNW Individuals | 24 | $146.0M |
| 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 | <5 | $738,666 |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Principal Office
941 WEST MORSE BOULEVARDSUITE 100
WINTER PARK
FL
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 407-599-1104, Fax: 407-599-0299
Chief Compliance Officer
TED RICH
PRESIDENT
941 WEST MORSE BOULEVARD
SUITE 100
WINTER PARK
FL
United States
Tel:
407-599-1104
T**@***********O
(Full email address available in API data)
Regulatory Contact
SALLY H. TURNER
941 WEST MORSE BOULEVARD
SUITE 100
WINTER PARK
FL
United States
Tel:
407-599-1104
S****@***********O
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RICH, THEODORE, SPENCER | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 01/2013 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ALPS ETF TR | ALERIAN MLP | 4M | 82K | – |
| AMPLIFY ETF TR | CWP ENHANCED DIV | 7M | 181K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 203K | 500 | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 284K | 18K | – |
| FIRST TR EXCH TRADED FD III | LNG/SHT EQUITY | 4M | 60K | – |
| FIRST TR EXCHANGE TRADED FD | GROWTH STRENGTH | 9M | 286K | – |
| FIRST TR EXCHANGE-TRADED FD | BUYWRIT INCM ETF | 3M | 140K | – |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 11M | 125K | – |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 17M | 288K | – |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 11M | 230K | – |
| FIRST TR EXCHANGE-TRADED FD | NASDAQ BUYWRITE | 3M | 135K | – |
| FIRST TR EXCHANGE-TRADED FD | RBA INDL ETF | 3M | 42K | – |
| FIRST TR EXCHANGE-TRADED FD | SENIOR LN FD | 6M | 126K | – |
| FIRST TR EXCHANGE-TRADED FD | SMID RISNG ETF | 6M | 167K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 9M | 292K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 9M | 328K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST NAS | 3M | 100K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 4M | 93K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 4M | 98K | – |
| INNOVATOR ETFS TRUST | DEFINED WLT SHLD | 2M | 63K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 530K | 16K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 225K | 1K | – |
| INVESCO QQQ TR | UNIT SER 1 | 615K | 1K | – |
| ISHARES TR | FLTG RATE NT ETF | 2M | 38K | – |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 10M | 204K | – |
| PACER FDS TR | US CASH COWS 100 | 7M | 131K | – |
| PIMCO ETF TR | ENHAN SHRT MA AC | 6M | 55K | – |
| RBB FD INC | US TREAS 3 MNTH | 768K | 15K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 445K | 817 | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 5M | 52K | – |
| SPDR SER TR | BLOOMBERG 3-12 M | 797K | 8K | – |