One River Asset Management, LLC (Greenwich)

Name: One River Asset Management, LLC
Address: 3 River Road, Greenwich, CT, 06807
Telephone: 203-489-1440

One River Asset Management, LLC is a large advisory firm based in Greenwich. It manages $658.5 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of California and Connecticut.

One River Asset Management provides portfolio management for pooled investment vehicles and publication of newsletters. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

One River Asset Management: assets under management

The assets under management (AUM) of One River Asset Management, LLC is $658.5 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -25% since the beginning of its operation, and $658.5 million of the total AUM is attributable to clients outside of the United States.

The firm manages $658.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $164.63 million each.

One River Asset Management has custody of $658.5 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay One River Asset Management, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients One River Asset Management serves?

The only and largest group of clients of One River Asset Management is pooled investment vehicles with 4 clients and $658.5 million of assets under management. Among the 5 most similar advisory firms, One River Asset Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $658.5 million for 4 clients. 100% of the firm’s clients are foreign persons or businesses.

One River Asset Management also advises several private funds. Namely, four hedge funds. The minimum investment commitment required of non-related persons is $10,000,000 for each fund.

Careers at One River Asset Management, LLC

The company employs 13 people that are either part- or full-time employees. 54 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
C Eric Peters	Managing member	1 Mar 2013	75% - 100%	2203821
Geoffrey Taylor Grant	Member	1 Mar 2013	Other	1502750
Stephen Thomas Lisenby	Chief operating officer / chief compliance officer	1 Mar 2013	Other	5773751
David Abdo Hassan	Chief compliance officer	1 Jul 2016	Other	6680354
Ian Andrew Malloch	Chief operating officer	1 Jul 2016	Other	4918690
William Gerard Wallin	Chief compliance officer	1 Jun 2017	Other	2751517

Based in Greenwich

The principal office where One River Asset Management, LLC performs its advisory services is located at 3 River Road, Greenwich, CT 06807, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-489-1440 or by fax 805-456-0478. The normal business hours are 6:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at oneriveram.com.