RIVI CAPITAL LLC
Adviser information for RIVI CAPITAL LLC last updated from Form ADV on March 31st, 2023. 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| 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 | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-107765 |
|---|---|
| SEC ERA File Number | 802-107765 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283779 |
| Legal Entity Identifier | None |
Principal Office
3005 S LAMAR BLVDSTE D-109 #363
AUSTIN
TX
United States
Monday - Friday, 9-5
Tel: 415 534-6752, Fax: None
Chief Compliance Officer
NoneIndustry Affiliates
| RC ADVISORS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ROTH CAPITAL PARTNERS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RIVI OPPORTUNITY FUND LP | Real Estate Fund | $35.0M | $0.5M | 100 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| puil, kevin | Individual | – | MANAGING PARTNER | 12/2014 | 25-50% |
| ROTH, BYRON, CLARENCE | Individual | – | MANAGER, BOARD OF MANAGERS | 12/2014 | < 5% |
| ROTH, GORDON, JAMES | Individual | – | MANAGER, BOARD OF MANAGERS | 12/2014 | < 5% |
| MENZIES, JOHN, COONAN | Individual | – | MANAGING PARTNER | 12/2014 | 25-50% |
| WACO LIMITED LLC | Domestic Entity | – | SHAREHOLDER | 12/2014 | 25-50% |
| CR FINANCIAL HOLDINGS, INC. | Domestic Entity | WACO LIMITED LLC | MEMBER | 12/2013 | > 75% |
| ROTH, BYRON, CLARENCE | Individual | CR FINANCIAL HOLDINGS, INC. | SHAREHOLDER | 01/2000 | > 75% |
| THE BR FEBRUARY 8, 2000 TRUST | Domestic Entity | CR FINANCIAL HOLDINGS, INC. | TRUSTEE | 02/2000 | > 75% |