SourcingSourcing

RIVER1 ASSET MANAGEMENT LLC

C35
CRD 329230·SEC 801-129274·MILWAUKEE, WI
AUM
$107.8M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$323K
@ 30% margin
Est. Deal Value
$2.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RIVER1 ASSET MANAGEMENT LLC
CRD
329230
SEC file #
801-129274
EIN
—
DBA names
—

Economics

AUM
$107.8M
AUM band
$100M-$500M
AUM trajectory
'25'26
$60.7M → $107.8M▲ +77%
Client mix
Investment Companies1

Operations

Employees (total)
5
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
2 advisors → 2 advisors▬ 0%
Primary office
MILWAUKEE WI
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companies
Fee basis
% of AUM

Filings

Latest ADV filing
02/26/2026
ADV-W filed at
—
Website
tiktok.com/@river1am

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MI-CAPITAL LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
MI-CAPITAL LLC
HAUGEN, ROBERT, MAURICE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:tiktok.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2109
Soi Zip Pct 200k Plus
0.0366
Soi Zip Returns 200k Plus
680
Soi Zip Total AGI
1,318,028
Fdic Zip Total Deposits
16,452,594,000
Fdic Zip Branch Count
299
Fdic Zip Top Banks
U.S. Bank National Association
Wells Fargo Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (18)

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
Fdic Zip Branches Raw
M&I Marshall and Ilsley BankMilwaukee, WI
Associated Bank Menomonee FallsSt. Francis, WI
Fdic Zip HHI
839.58
Fdic Zip Top Bank Share Pct
15.42
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI48,073
Returns3,790
Stub 2
AGI175,230
Returns4,590
Stub 3
AGI240,617
Returns3,910
Soi Zip Total Business Income
40,860
Soi Zip Total Cap Gains
17,191
Soi Zip Total Dividends
12,424
Soi Zip Total Returns
18,590
Trust Company Affiliate
No

People (4)

4
ROBERT MAURICE HAUGEN
Executive Officer · 2.5%
2867652
Kaiser, Susan, P
Executive Officer · 2.5%
7836346
TONY GIAN TAGLIAPIETRA
Executive Officer · 2.5%
3250764
Collin Wesley Whitten
Executive Officer · 2.5%
7819921