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CATAWBA RIVER CAPITAL
CRD 134217File 801-113237
APPROVED
Retail clients
Custody
Filing as of Feb 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$325.1M
Below cohort median (national)
Discretionary AUM
$271.2M
Non-discretionary $53.9M
Clients
275
896 accounts
Employees
4
Above cohort median in SC
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- May 16, 2018
- Principal office
- 4100 CHARLOTTE HWY., LAKE WYLIE, SC, 29710
- Phone
- 803-831-0911
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $325.1M
- Discretionary AUM
- $271.2M
- Non-discretionary AUM
- $53.9M
- Discretionary accounts
- 720
- Non-discretionary accounts
- 176
- Total accounts
- 896
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 8 | $14.2M |
| Charitable organizations | Fewer than 5 | $2.6M |
| High net worth individuals | 118 | $240.3M |
| Pension and profit sharing plans | 6 | $22.2M |
| Individuals (other than high net worth individuals) | 139 | $45.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 233 | 275 | increased by42 |
| Mar 1, 2026 | AUM | $262,445,540 | $325,111,772 | increased by$62,666,232 |
| Mar 1, 2026 | Accounts | 837 | 896 | increased by59 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 5 | 4 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 222 | 233 | increased by11 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $238,861,049 | $262,445,540 | increased by$23,584,491 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 708 | 837 | increased by129 |
| Mar 1, 2022 | Clients | 190 | 222 | increased by32 |
| Mar 1, 2022 | AUM | $197,875,047 | $238,861,049 | increased by$40,986,002 |
| Mar 1, 2022 | Accounts | 621 | 708 | increased by87 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CATAWBA RIVER” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CATAWBA RIVER” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.