SourcingSourcing

RIVER ASSOCIATES INVESTMENTS, L.P.

C27
CRD 295692·SEC 801-134082·CHATTANOOGA, TN
AUM
$815.5M
$500M-$1B
Est. Revenue
$8.2M
@ 1% on AUM
Est. EBITDA
$2.4M
@ 30% margin
Est. Deal Value
$19.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RIVER ASSOCIATES INVESTMENTS, L.P.
CRD
295692
SEC file #
801-134082
EIN
000000000
DBA names
River Associates Investments, L.p.

Economics

AUM
$815.5M
AUM band
$500M-$1B
AUM trajectory
'25'26
$767.4M → $815.5M▲ +6%
Client mix
Pooled Investment Vehicles2

Operations

Employees (total)
18
Advisory staff (per ADV)
13
Advisory staff (5-yr trend)
'25'26
11 advisors → 13 advisors▲ +18%
Primary office
CHATTANOOGA TN
Branches
Count1

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
Performance-based feesOther Compensation

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
riverassociates.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BAKER, WILLIAM, CRAIG
Top Owner Pct
17.5
Top Owner Entity Kind
I
Owner Count
10
Control Persons
BAKER, WILLIAM, CRAIG
BROOKSHIRE, MICHAEL, DEAN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
RIVERASSOCIATES.COM
Rdap Domain Creation Date
2015-03-20T18:05:44Z
Rdap Firm Age Years
11
Rdap Firm Age Band
10-20y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001934394
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2022-06-29
Edgar Last Filing Date
2022-06-29
Edgar Form D Count
1
Edgar Form D Offerings
2022-06-292022-06-29 · 0001933659-22-000002

Local market & wealth

Rank targets by how wealthy the local market is

Fdic Zip Total Deposits
2,870,039,000
Fdic Zip Branch Count
36
Fdic Zip Top Banks
Bank of America, National Association
NationsBank of Tennessee, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (21)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
633 CHESTNUT STREETSUITE 1640CHATTANOOGA, TN 37450
Business
633 CHESTNUT STREETSUITE 1640CHATTANOOGA, TN 37450
Edgar EIN
000000000
Edgar Recent Filings
D2022-06-29 · 0001933659-22-000002
Fdic Zip Branches Raw
NationsBank of Tennessee, National AssociationChattanooga, TN
NationsBank of Tennessee, National AssociationChattanooga, TN
Fdic Zip HHI
2931.78
Fdic Zip Top Bank Share Pct
48.72
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-20T18:05:44Z
Rdap Domain Last Changed
2018-06-05T20:42:43Z
Rdap Nameservers
Ns29.worldnic.comNs30.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
5931464
Trust Company Affiliate
No

People (9)

9
BAKER, WILLIAM, CRAIG
Direct Owner · 17.5%
5931464
BROOKSHIRE, MICHAEL, DEAN
Direct Owner · 17.5%
5931461
JONES, JOHN, MARSHALL
Direct Owner · 17.5%
5931456
PETTWAY, GEORGE, HOLMES PATTEN
Direct Owner · 17.5%
5931435
BAKER, JAMES, BUFORD
Executive Officer · 2.5%
5931453
CUDD, COURTNEY, LAYNE
Executive Officer · 2.5%
5930501
KENT, JONATHAN, FREDERIC
Executive Officer · 2.5%
7244454
LEWIS, BLAKE, TYLER
Executive Officer · 2.5%
5292652
VYULE, BENJAMIN, STUART
Executive Officer · 2.5%
5690360