# New River Investments

> New River Investments is a state-registered investment advisory firm, registered since 2011, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated July 15, 2026.

- CRD: 157173
- Filed as: NEW RIVER INVESTMENTS
- Legal name: New River Investments Inc.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: July 15, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/157173
- AdvisorCensus page: https://advisorcensus.com/firm/new-river-investments-157173

## Quick answers

**How is New River Investments compensated?**
On its Form ADV (Item 5.E, October 2026), New River Investments reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is New River Investments registered with the SEC or a state?**
New River Investments is a state-registered investment advisory firm, registered since 2011. Status as filed: APPROVED. CRD 157173.

**How much does New River Investments manage?**
New River Investments reports $49,025,382 in regulatory assets under management in its Form ADV filing dated July 15, 2026 (100% discretionary).

**What types of clients does New River Investments serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (44); high net worth individuals (9); corporations or other businesses not listed above (2).

**Does New River Investments report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/157173

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $49,025,382
- Discretionary: $49,025,382
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 44 | $9,288,947 |
| High net worth individuals | 9 | $15,388,406 |
| 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) | 1 | $11,232,633 |
| 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 | 2 | $13,115,396 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2011 (15 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, GA, LA, NC
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/157173

### Websites listed on Form ADV (Item 1.I)
- Facebook @NEWRIVERINVESTMENTS
- X @NEWRIVERINVEST

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. New River Investments (CRD 157173): Form ADV filing data as of October 2026.