{"url":"https://nivawealth.com/firms/little-river-capital-partners-331057","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/331057","regulatoryAum":160104368,"crd":"331057","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8105832","suffix":null,"lastName":"Bishop","firstName":"Kyle","middleName":"Alexander"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-05-10","regulatoryAum":0,"clients":0,"employees":6,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":150000000,"clients":2,"employees":4,"offices":1},{"filedOn":"2026-05-05","regulatoryAum":160104368,"clients":1,"employees":8,"offices":2}],"secFileNumber":"801-130448","legalName":"Little River Capital Partners, LP.","displayName":"Little River Capital Partners","slug":"little-river-capital-partners-331057","website":"https://littleriverinvest.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited partnership","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"7 June 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":8,"advisory":7,"brokerDealerReps":4,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":160104368,"discretionary":160104368,"discretionaryAccounts":6,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":null,"fewerThan5":true,"regulatoryAum":188358},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":4203287},{"label":"Other investment advisers","clients":null,"fewerThan5":true,"regulatoryAum":155661871},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":50852}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"TD Ameritrade, Inc.","shortName":"TD Ameritrade","location":"Omaha, NE","smaAssets":155661871}],"custodyNote":"Little River Capital Partners has custody of client assets.","otherCustodians":[],"leadership":[{"name":"John Tuohy","title":"Chief Compliance Officer","crd":"4454485"},{"name":"John Nix","title":"Member","crd":"5414111"},{"name":"Lance Smith","title":"Chief Investment Officer","crd":"5606675"}],"ownership":[{"label":"John Tuohy","detail":"Chief compliance officer in the 10% to 25% ownership band and a control person, since March 2024. Also a partner of Little River Capital GP, LLC in the 25% to 50% band and a control person, since March 2024."},{"label":"Lance Smith","detail":"Chief investment officer in the 25% to 50% ownership band and a control person, since March 2024. Also a partner of Little River Capital GP, LLC in the 25% to 50% band and a control person, since March 2024."},{"label":"Middleton Circle Family Trust DTD 10-4-2019","detail":"Member in the 5% to 10% ownership band, since December 2025."},{"label":"John Nix","detail":"Member in the 10% to 25% ownership band, since March 2024."},{"label":"Paul Vogel","detail":"Indirect owner: trustee of Middleton Circle Family Trust DTD 10-4-2019, since February 2025.","parent":"Middleton Circle Family Trust DTD 10-4-2019"},{"label":"William Zelenik","detail":"Indirect owner: trustee of Middleton Circle Family Trust DTD 10-4-2019, since February 2025.","parent":"Middleton Circle Family Trust DTD 10-4-2019"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"4553 Pine Tree Hill Road","city":"Vestavia Hills"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"917-224-7259","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"Non-exchange-traded equity securities","percent":2},{"label":"U.S. government/agency bonds","percent":35},{"label":"Investment grade corporate bonds","percent":38},{"label":"Cash and cash equivalents","percent":23}],"privateFunds":1},"sources":{"adv1FilingDate":"5 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/331057/PDF/331057.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Little River Capital Partners have?","answer":"Little River Capital Partners has 1 client and manages $160 million for them, as of May 2026. They include 1 pooled investment vehicle.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Little River Capital Partners offer?","answer":"Little River Capital Partners provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Little River Capital Partners use?","answer":"Little River Capital Partners’ separately managed account assets are held at TD Ameritrade, Inc. (Omaha, NE), with $156M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Little River Capital Partners have?","answer":"Little River Capital Partners has 1 investment adviser representative registered with state securities authorities, out of 8 employees, and 7 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Little River Capital Partners invest in?","answer":"At the end of its last fiscal year, Little River Capital Partners’ separately managed accounts held 38% investment grade corporate bonds, 35% U.S. government and agency bonds, 23% cash and equivalents, 2% exchange-traded equities and 2% non-exchange-traded equities. It advises 1 private fund.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Little River Capital Partners?","answer":"Little River Capital Partners’ direct owners are John Tuohy, Lance Smith, Middleton Circle Family Trust DTD 10-4-2019 and John Nix, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Little River Capital Partners get paid?","answer":"Little River Capital Partners is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Little River Capital Partners?","answer":"Its phone number is 917-224-7259. Its website is littleriverinvest.com.","source":"Form ADV Part 1A, Item 1.F, filed 5 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}