RIVER1 ASSET MANAGEMENT LLC

RIASEC RegisteredEst. 2024
Total AUM
$108M
Discretionary
$108M
100% of AUM
Avg account
$108M
Accounts
1
Employees
5
Advisory reps
4

Firm details

Headquarters
MILWAUKEE, Wisconsin
CRD number
329230
Registered since
January 2, 2024
Fee structure
Percentage of AUM
Client types
  • Investment Companies100%
Services
Portfolio Management for Investment Companies

Firm profile

FINTRX

Overview

River1 Asset Management LLC is a small, institutionally focused investment adviser that provides discretionary portfolio management specifically for investment companies. The firm operates as a limited liability company and positions itself as a fee‑based manager, charging a percentage of assets under management. Its filings indicate a client base made up of institutional mandates rather than retail households, and it is not characterized as a multi‑state adviser, pension consultant, or capital allocator. River1 is not listed as an active ESG investor in its disclosures, and it does not appear to operate as a related adviser to other firms. Given the advisory activity—portfolio management for investment companies—the firm’s day‑to‑day work centers on constructing and managing vehicles or pooled structures that meet the mandates and regulatory requirements of investment company clients.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 4
  • ROBERT HAUGEN

    Chief Investment OfficerCRD 2867652

  • Susan Kaiser

    Chief Financial OfficerCRD 7836346

  • TONY TAGLIAPIETRA

    Chief Executive OfficerCRD 3250764

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

Location

Primary office

MILWAUKEE, WI

MILWAUKEE

Location

MILWAUKEE, WI

Headquartered in MILWAUKEE, WI, anchoring the Milwaukee-Racine-Waukesha, WI metro in the Midwest.

Metro area
Milwaukee-Racine-Waukesha, WI
Region
Midwest
County
MILWAUKEE
Address
210 W Becher St
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth