# 4th River Financial Group, Inc.

> 4th River Financial Group, Inc. is a state-registered investment advisory firm in Wexford, PA, registered since 2009, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 8, 2026.

- CRD: 149058
- Filed as: 4TH RIVER FINANCIAL GROUP, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Wexford, PA
- Filing period: October 2026
- Form ADV filing dated: June 8, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/149058
- AdvisorCensus page: https://advisorcensus.com/firm/4th-river-financial-group-inc-wexford-pa-149058

## Quick answers

**How is 4th River Financial Group, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), 4th River Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is 4th River Financial Group, Inc. located?**
4th River Financial Group, Inc.'s principal office is in Wexford, PA, according to its Form ADV.

**Is 4th River Financial Group, Inc. registered with the SEC or a state?**
4th River Financial Group, Inc. is a state-registered investment advisory firm, registered since 2009. Status as filed: APPROVED. CRD 149058.

**How much does 4th River Financial Group, Inc. manage?**
4th River Financial Group, Inc. reports $66,604,030 in regulatory assets under management in its Form ADV filing dated June 8, 2026 (0% discretionary).

**What types of clients does 4th River Financial Group, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (280); high net worth individuals (21).

**Does 4th River Financial Group, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/149058

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Regulatory assets under management (Item 5.F)
- Total: $66,604,030
- Discretionary: $0
- Non-discretionary: $66,604,030

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 280 | $47,771,434 |
| High net worth individuals | 21 | $18,832,596 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops

### Firm details
- Registered since: 2009 (17 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, ID, NC, OH, PA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- 4thriverfinancial.com
- 4thriverfinancialgroup.com
- Facebook @4TH-RIVER-FINANCIAL-GROUP-1408639016028969
- LinkedIn @4TH-RIVER-FINANCIAL-GROUP
- X @4THRIVERFIN

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. 4th River Financial Group, Inc. (CRD 149058): Form ADV filing data as of October 2026.