Catawba River Capital
Firm details
- Headquarters
- Lake Wylie, South Carolina
- CRD number
- 134217
- Registered since
- May 16, 2018
- Website
- www.catawbarivercapital.com
- Custodians
- FIDELITY DISTRIBUTORS COMPANY LLC
- Fee structure
- Percentage of AUM, Hourly Charges
- Client types
- HNWI73.92%
- Individuals14.1%
- Pension & Profit Sharing Plans6.83%
- Corporations / Businesses4.37%
- Charitable Organizations0.78%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension Consulting
Firm profile
FINTRXOverview
Catawba River Capital is an independent, privately owned registered investment adviser that began SEC registration in 2018. The firm serves both individual and family clients as well as institutional investors, providing portfolio management, financial planning, and pension consulting. Its fee model combines a percentage-of-AUM charge with the option for hourly advisory fees. The firm is not positioned as a capital allocator and is not identified as a multi-state adviser; it also reports it does not use an ESG-focused investment approach. Catawba River Capital was named to Forbes’ “America’s Top RIA Firms” list in 2023.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities72%
- Public Funds/Mutual Funds14%
- Cash & Cash Equivalents12%
- Other2%
Owners & executives
1 of 1
Robert Boggs
Chief Investment OfficerCRD 2681427
Contacts
2 of 2
Derek Lewis
Financial AdvisorCRD 5701113
Jonathan Shaw
Wealth ManagementCRD 7726075
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 6Active vs passive
$41.3M in ETFs
40%
$16.3M
61%
$25M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| FIDELITY TOTAL BOND ETF (FBND) | Fidelity | Active | Intermediate Core Plus Bond | $23.2M | 510,635 | 56.25% |
Location
Lake Wylie, SC
York
Location
Lake Wylie, SC
Headquartered in Lake Wylie, SC, anchoring the Charlotte-Concord, NC-SC metro in the South.
- Metro area
- Charlotte-Concord, NC-SC
- Region
- South
- County
- York
- Address
- 4100 Charlotte Hwy
- Time zone
- ET (UTC-5)
- Office locations
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