RIVERPLACE CAPITAL MANAGEMENT INC
Adviser information for RIVERPLACE CAPITAL MANAGEMENT INC 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 319 | $212.5M |
| Non-Discretionary | 0 | $0 |
| Total | 319 | $212.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 288 | $115.8M |
| HNW Individuals | <5 | $77.8M |
| 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 | $3.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $15.7M |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $125,628 |
| 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 |
Identifiers
| SEC RIA File Number | 801-79970 |
|---|---|
| SEC ERA File Number | 801-79970 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109079 |
| Legal Entity Identifier | None |
Principal Office
1301 RIVERPLACE BLVDSUITE 2130
JACKSONVILLE
FL
United States
Monday - Friday, 8:30-4:30
Tel: 904-346-3460, Fax: 904-346-3434
Websites
Chief Compliance Officer
ANNETTE CAMPOS
DIRECTOR OF OPERATIONS AND COMPLIANCE
1301 RIVERPLACE BOULEVARD
SUITE 2130
JACKSONVILLE
FL
United States
Tel:
904-346-3460
Fax:
904-346-3434
A******@********************M
(Full email address available in API data)
Regulatory Contact
PETER BOWER
EXECUTIVE CHAIRMAN AND CIO
1301 RIVERPLACE BOULEVARD
JACKSONVILLE
FL
United States
Tel:
9043463460
P*****@********************M
(Full email address available in API data)
Industry Affiliates
| RIVERPLACE ANALYTICS, LLC | 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 |
|---|---|---|---|---|---|
| BOWER, PETER, EDWARD | Individual | – | EXECUTIVE CHAIRMAN AND CIO | 01/2002 | > 75% |
| KIMBALL, TERRI, CASON | Individual | – | EXECUTIVE VICE PRESIDENT, CONTROLLER | 08/2006 | < 5% |
| Campos, Annette, Y | Individual | – | DIRECTOR OF OPERATIONS AND COMPLIANCE, CCO | 06/2021 | < 5% |