Firm Info
Firm Size
Services Offered
- Portfolio Management Investment Company
- Portfolio Management of Pooled Investment Vehicles
- Publication of Periodicals or Newsletters
Types of Clients
- Investment Companies
- Pooled Investment Vehicles
- Corporations or Other Businesses Not Listed Above
Available Fee Structures
- Percentage of Assets Under Management (AUM)
- Performance-based Fees
One River Asset Management, LLC Overview
One River Asset Management, LLC is a registered investment advisory firm that is headquartered in Greenwich, CT. The firm has been in business since 2013 and offers fee-based services to its clients. One River Asset Management, LLC is unique in that it is both a commodity pool operator and advisor, providing investment advice to its clients. The services offered by One River Asset Management, LLC include portfolio management of both investment companies and pooled investment vehicles. This allows clients to have their investments professionally managed, whether they are investing individually or as part of a larger pool. Additionally, the firm publishes periodicals and newsletters to keep clients updated on current market trends and other important information that may affect their investments. Overall, One River Asset Management, LLC is a comprehensive investment advisory firm that can help clients make informed investment decisions based on their individual needs and goals. With its fee-based fee arrangement, the firm is committed to offering transparent and straightforward services that prioritize the client's best interests.
One River Asset Management, LLC caters to an exclusive group of clients, including investment companies and pooled investment vehicles. With specialized expertise in the field of finance, the firm works closely with each of its clients to develop customized investment strategies that align with their financial goals. In addition, ONE RIVER ASSET MANAGEMENT, LLC extends its services to other corporation types as well. Regardless of the type of client, the firm is committed to delivering comprehensive and innovative solutions to drive financial growth. ONE RIVER ASSET MANAGEMENT, LLC offers two fee structures depending on the type of service rendered. Firstly, the firm charges a percentage of assets under management (AUM) as an annual management fee, to provide investors with professional portfolio management services. This fee is calculated as a percentage of the total amount of assets that the firm manages. Secondly, the firm also assesses performance-based fees on its clients, which is calculated based on the returns generated by the investments under its management. This fee arrangement motivates the firm to outperform the market to the benefit of its clients' portfolios. By offering flexible fee structures, ONE RIVER ASSET MANAGEMENT, LLC ensures that its clients receive appropriate and transparent compensation for the services they receive.
Typical Clients, Fee Structures & Investment Minimum
The minimum initial investment for ONE RIVER ASSET MANAGEMENT, LLC is either $100 thousand or $10 million, depending on the Fund (or SP) in which an Investor subscribes. However, lesser amounts may be accepted at the sole discretion of One River. The Clients are subject to a significant account minimum, subject to waiver or modification at the discretion of the One River.
How This Office Can Help Cos Cob, CT Residents
One River Asset Management provides a wide range of investment solutions to individuals and businesses in Cos Cob, CT. The firm is dedicated to helping its clients achieve financial success by offering expert guidance on wealth management, portfolio allocation, risk management, and retirement planning. One River Asset Management works closely with each client to develop customized investment strategies that align with their unique financial goals and objectives. Residents of Cos Cob, CT might face a variety of financial challenges, from managing debt and saving for their children's education to planning for retirement and protecting their assets. One River Asset Management provides the tools, resources, and expertise needed to navigate these complex financial issues. By working closely with clients to understand their unique needs and risk tolerance, the firm is able to develop tailored financial plans that maximize returns and minimize risk. With a focus on long-term investment strategies and a commitment to transparency and accountability, One River Asset Management is a trusted partner for clients in Cos Cob, CT seeking to build a secure financial future.
Services Offered by One River Asset Management, LLC
Core Advisor Services
Financial Planning
Financial planning services encompass the process of devising strategies for your future financial well-being, including preparing for events such as retirement, funding your child's college education, or planning for the transfer of assets.
Portfolio Management for Individuals & Small Businesses
Portfolio management entails the careful selection and strategic management of investment combinations tailored to meet the needs of individuals and small businesses.
Market Timing Services
Market timing services involve the endeavor to generate short-term profits from investments by capitalizing on opportunities to buy at low prices and sell at high prices.
Other Services
Selection of Other Advisors
The firm provides support in selecting and engaging other advisors who possess specialized expertise to complement your financial needs.
Publication of Periodicals or Newsletters
The firm engages in the dissemination of diverse financial educational materials through the publication of periodicals.
Educational Seminars & Workshops
The firm organizes and conducts seminars or workshops aimed at enlightening investors on various financial concepts.
Fee Structures
Financial advisory fees usually are based on the services provided. Fee types charged by One River Asset Management, LLC most likely consist of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.
Available
Percentage of Assets Under Management (AUM)
This fee structure charges a percentage of the assets under management by the firm. Fee structures are often tiered based on the amount of assets managed, with higher AUM often charged a lower rate.
Between 0.50% and 2.00% of assets under management (annually), often lower for a robo advisor. Fees are typically charged quarterly by the firm and will show on your investment statement. View typical advisor costs here.
~96% of registered firms offer this fee structure.
If you have $1 million managed by a firm at a 1% management fee, you would be charged $10,000/year to manage your assets (or $2,500 per quarter). This would be automatically deducted from your investment portfolio.
Performance-based Fees
Advisors typically obtain performance-based fees if a portfolio surpasses a predefined benchmark. This fee is determined through various methods, but is most commonly assessed as a percentage of investment gains. Performance-based fees may incentivize advisors to undertake riskier decisions in pursuit of generating higher returns.
“Two and Twenty” is common among hedge funds with a 2% management fee and a 20% incentive fee above the “hurdle rate,” or performance threshold the fund is compared against.
32% of registered firms offer this fee structure.
A hedge fund earns a 15% return with a 20% performance fee in above the performance of the S&P 500, which grew 7% that same year.
20% of fund growth in excess of S&P 500’s 7% growth for that year = 15% hedge fund growth - 7% S&P 500 growth = 8% difference x 20% = 2% performance fee (in addition to the management fee).
Unavailable
Hourly
Similar to an attorney, a financial consultant might charge fees based on hourly rates. This fee structure can be advantageous when seeking specific or ad hoc advice.
Charges generally span from $150 to $400 per hour, depending on the extent of the services required.
~33% of registered firms offer this fee structure.
If you needed hourly consulting to sell a business or transfer your estate to your children but did not want your assets managed by a firm, you could consult a firm at an hourly rate to answer any questions you may have.
Subscription (Newsletter or Periodical)
Fixed Fees (Other than subscription)
Fixed fees are a one-time, lump-sum payment rendered for a specific service, such as creating a financial plan without ongoing management or implementation. This option is beneficial if you solely require guidance for a particular objective rather than a long-term consultancy or asset management.
Fixed fees for creating a financial plan often range from $1,000 to $3,000.
~49% of registered firms offer this fee structure.
If you did not want a firm to manage your assets but needed to create a retirement plan, life transition plan such as divorce or loss of a spouse, estate transition plan, business financial plan, or any other financial planning, you could consult with an RIA firm to help you with the creation of that plan.
Commissions
Occasionally, advisors are compensated through commissions by selling certain financial products, such as mutual funds or life insurance policies, or as a broker-dealer by facilitating the buying and selling of securities. Advisors who receive commissions may be incentivized to make specific suggestions to clients in order to secure a commission. Advisors who operate on a fee-only basis do not earn commissions, whereas fee-based advisors may do so.
Often 3% - 6% of the value of the security.
Only ~3% of registered firms say they offer this fee structure, but other advisors may receive “soft dollars”. Many mutual funds charge 12b-1 fees to cover the promoting and selling of the fund’s shares. While your advisor does not charge these fees, they may receive a kickback for recommending the investment.
An advisor selling their client on a life insurance policy and receiving a commission on the sale of that policy, or recommending a specific investment and receiving a kickback for that recommendation.
Other
Firms occasionally offer unconventional fee structures when charging clients. For more detailed information about a firm’s specific fee structures, please refer to their Form ADV and Part 2 Brochure.
Types of Clients
This Office Location
Other Office Locations
Firm Headquarters
This firm has no other locations.
State Registrations
One River Asset Management, LLC is registered to service clients in the following states:
- California
- Connecticut
Disciplinary History
One River Asset Management, LLC does not have any disclosures. Please visit it's Form ADV for more details.