|
|
|
|
|
Business Description |
White River Capital Management LLC is a fee only, independent investment advisor. The firm services individuals, families, pension plans and foundations located all over the world.
In today’s world, we are living in an era of large “Wall Street” investment houses who want a piece of your business. In order to get business from individuals and small institutions, they promise the resources of a “global firm,” together with providing you a local investment manager.
The reality of this business model is these large investment houses are not set up to deliver the services they promise to individual investors and investment organizations. Many times, instead of delivering the quality and quantity of services they promise, they often fall short of their promises and you (their client) get lost in the pack of the hundreds and perhaps thousands of accounts each one of their “managers” is allocated to manage.
White River was founded to provide individualized, personal service to our clients. We understand that in order to be a quality investment manager, we need to understand you as an individual, your family, your career and your financial position. We pride ourselves on providing high quality investment management services free from the “Wall Street” machine and the conflicts of interest those firm’s operate in. |
|
| |
|
|
General Information |
|
|
|
|
| Name of Custodial Firm: |
Scottrade Institutional
|
|
|
|
| Years of Experience in Financial Services: |
9
|
|
| Number of Years with Current Firm: |
1
|
|
| Work Experience: |
Mercury Partners LLC, Greenwich CT 2002-2005, Senior Buy Side Analyst at investment management firm.
Babcock & Brown LP, New York, NY 2005-2008, senior analyst, acquisitions and investment management.
White River Capital Management LLC, Stamford, CT, 2009-Present, Founder and CIO
|
|
| I work with the following types of clients: |
Individual Investors, Businesses
|
|
| |
|
Education |
| Academic Background |
| |
| Fairfield University, Charles F. Dolan School of Business, B.S. Finance |
|
| |
|
Services |
| Investment Types: |
Stocks, Mutual Funds, Bonds, Alternative Investments, Exchange Traded Funds (ETFs)
|
|
| |
|
Qualifications & Memberships |
| Securities Licenses: |
Series 65
|
|
| Non-Financial Organization Memberships: |
Urban Land Institute
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
|
|
| I work with clients as part of a team: |
Yes
|
|
| Firm's Number of Clients: |
3
|
|
| Firm's Number of Managed Clients: |
3
|
|
| Assets Managed by Firm: |
$2000000
|
|
| Advisor's Number of Clients: |
3
|
|
| Advisor's Number of Managed Clients: |
3
|
|
| Advisor's Number of Planning Clients: |
0
|
|
| Assets Managed by Advisor: |
$2000000
|
|
| |
|
Compliance |
| Registered Investment Advisor: |
Yes
|
|
| Investment Advisor Representative: |
Yes
|
|
| I am an acknowledged fiduciary: |
Yes
|
|
| Compliance Disclosures in Last 5 years: |
I have a clean record
|
|
| Criminal Disclosures in Last 5 years: |
I have a clean record
|
|
| |
|
Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$100000
|
|
| Compensation Methods: |
Based on Assets
|
|
| Fee % Based on Assets: |
1.5%
|
|
|
|
|
|
| Additional Details on Charges: |
White River Capital Management LLC is a fee-only advisor. We do not sell any products and are an independent regisered investment advisor.
|
|
| Minimum Fee Charged for Managed Accounts: |
$0
|
|
| Minimum Fee Charged for Hourly Planning Accounts: |
$0
|
|
| Minimum Fee Charged for Flat Fee Accounts: |
$0
|
|
| |
|
| |
| |
| Prepared By: |
Tome Tomaj |
Frequently Asked Questions |
 |
| Q. |
Do you have a customer satisfaction or refund policy? |
| |
White River Capital Management LLC believes that our clients should be happy with our services. If for some reason our client does not want to continue our advisory relationship, we will assist in your transition to another advisor, if you should so choose. |
|
| Q. |
What services do you provide? What are your specialties? |
| |
We provide discretionary investment management services. Specifically, we manage investment portfolio's for individuals and institutions. |
|
| Q. |
What is your experience? How many clients do you currently manage? |
| |
I have over 9 years of experience in investment management services, having worked in the hedge fund investment space as well as for institutional asset management firms. |
|
| Q. |
What financial institution(s) do you represent? |
| |
I am an independent investment advisor, with no affiliations with any other financial firms |
|
| Q. |
How do you charge for your services? |
| |
Strictly fee-only as a percentage of assets under management. |
|
| Q. |
Do you provide a free initial consultation? |
| |
Yes, at my office or at your home. |
|
| Q. |
Why should I choose you as my financial advisor? |
| |
Please see our website at www.wr-cap.com. We view new clients as establishing a long-term relationship in which both client and advisor are happy. Our goal is to provide high quality investment management services. We start by getting to know you, your family, your financial situation and your investment goals. |
|
| Q. |
What are your qualifications? |
| |
We can assist you with your 401K rollover. |
|
| Q. |
What is your approach to 401 K plan rollovers? |
| |
We work with our clients in assisting them with their 401K rollovers and develop an investment strategy that is appropriate for their individual circumstances, their risk tolerance, financial situation, and investment goals. |
|
| Q. |
How long does the process of rolling over a 401K plan usually take? |
| |
It varies, but typically takes between 5-7 business days. |
|
| Q. |
What financial institutions do you represent? |
| |
None. We are an independent investment advisor. |
|
| Q. |
How many years of experience do you have? |
|
| Q. |
What are your fees for this service? |
| |
No fees, we work as a fee-only advisor and are compensated as a percent of assets under management |
|
| Q. |
How many 401K rollover clients do you currently manage? |
|
| Q. |
Why should I roll over my 401K plan to your firm? |
| |
We take seriously our fidicuary duty to act in the best interests of our clients. |
|
| Q. |
Do you provide a free initial consultation? |
|
|
|
