# Catawba River Capital

> Catawba River Capital is an SEC-registered investment advisory firm in Lake Wylie, SC, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 18, 2026.

- CRD: 134217
- Filed as: CATAWBA RIVER CAPITAL
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Lake Wylie, SC
- Filing period: October 2026
- Form ADV filing dated: February 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/134217
- AdvisorCensus page: https://advisorcensus.com/firm/catawba-river-capital-lake-wylie-sc-134217

## Quick answers

**How is Catawba River Capital compensated?**
On its Form ADV (Item 5.E, October 2026), Catawba River Capital reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**How much does Catawba River Capital charge?**
Its Form ADV Part 2A brochure dated February 18, 2026 states: Hourly rate: $150 an hour (Financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Catawba River Capital located?**
Catawba River Capital's principal office is in Lake Wylie, SC, according to its Form ADV; the March 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Catawba River Capital registered with the SEC or a state?**
Catawba River Capital is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 134217.

**How much does Catawba River Capital manage?**
Catawba River Capital reports $325,111,772 in regulatory assets under management in its Form ADV filing dated February 18, 2026 (83% discretionary).

**How have Catawba River Capital's assets and staff changed since 2021?**
In the Form ADV data for Catawba River Capital: Regulatory assets under management: $197,875,047 in the October 2021 data and $325,111,772 in the October 2026 data, up 64%. Total employees: 5 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Catawba River Capital serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (139); high net worth individuals (118); corporations or other businesses not listed above (8).

**Which custodians does Catawba River Capital use?**
Catawba River Capital's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Catawba River Capital report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/134217

**What changed in Catawba River Capital's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $262,445,540 to $325,111,772 (+24%). Registered or notice-filed in FL.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated February 18, 2026)

- Hourly rate: $150 an hour (Financial planning services)

> Financial planning services will be charged at the prevailing hourly rate of $150 per hour.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $325,111,772
- Discretionary: $271,170,353
- Non-discretionary: $53,941,419

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 139 | $45,825,658 |
| High net worth individuals | 118 | $240,317,507 |
| 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) | 6 | $22,207,856 |
| Charitable organizations | 4 | $2,551,596 |
| 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 | 8 | $14,209,155 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Other

### Firm details
- Registered since: 2018 (8 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NC, OH, SC, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the March 2026 filing
- Belmont, NC

### Websites listed on Form ADV (Item 1.I)
- [catawbarivercapital.com](https://catawbarivercapital.com)
- Facebook @catawbarivercapital
- X @RPBOGGSCO

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $197,875,047 | 5 | May 14, 2021 |
| October 2022 | $238,861,049 | 5 | February 14, 2022 |
| October 2023 | $206,574,894 | 6 | March 28, 2023 |
| October 2024 | $235,067,030 | 4 | March 29, 2024 |
| October 2025 | $262,445,540 | 4 | March 19, 2025 |
| October 2026 | $325,111,772 | 4 | February 18, 2026 |

Regulatory assets under management: $197,875,047 in the October 2021 data and $325,111,772 in the October 2026 data, up 64%.
Total employees: 5 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $262,445,540 to $325,111,772 (+24%).
- Registered or notice-filed in FL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Catawba River Capital (CRD 134217): Form ADV filing data as of October 2026.