Rivertree Advisors, LLC (Winter Park)

Name: Rivertree Advisors, LLC
Address: 941 West Morse Boulevard, Winter Park, FL, 32789
Telephone: 407-599-1104

Rivertree Advisors, LLC is a large advisory firm based in Winter Park. It manages $139.1 million of regulatory assets for 237 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Colorado and Florida.

Rivertree Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Rivertree Advisors: assets under management

The assets under management (AUM) of Rivertree Advisors, LLC is $139.1 million. The firm's AUM has grown by 11% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $138.5 million in discretionary accounts and $608.81 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $610.11 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $60.88 thousand.

Rivertree Advisors has custody of $250.32 thousand in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 80% of the total AUM. The second-largest asset type is exchange traded securities, which make up 18% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Rivertree Advisors, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Theodore Spencer Rich serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Theodore Spencer Rich is high net worth individuals with 24 clients and $123.28 million of assets under management. Among the 8 most similar advisory firms, Rivertree Advisors has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $139.1 million for 74 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rivertree Advisors doesn't advise any private funds.

Careers at Rivertree Advisors, LLC

The company employs 3 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Theodore Spencer Rich	President/chief compliance officer	1 Jan 2013	75% - 100%	2592493

Based in Winter Park

The principal office where Rivertree Advisors, LLC performs its advisory services is located at 941 West Morse Boulevard, Winter Park, FL 32789, which is also the mailing address of the firm. An additional office of the firm is in Boulder, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 407-599-1104 or by fax 407-599-0299. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at rivertree.co.