Riverstone Asset Management provides portfolio management for individuals and small businesses and selecting other managers.
Riverstone Asset Management reports 18 clients. They include 11 high-net-worth individuals and 7 individual clients. Of its assets, 100.0% ($103M across 69 accounts) are managed with discretion. It advised 3 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 39% | 5% |
| High-net-worth individuals | 61% | 80% |
| Corporations and other businesses | Fewer than 5 | 15% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 7 | $5.66M | 5.5% | $809K |
| High-net-worth individuals | 11 | $82.1M | 79.7% | $7.47M |
| Corporations and other businesses | Fewer than 5 | $15.2M | 14.8% | — |
| Total | 18 | $103M | 100% | — |
- Clients
- 7
- Regulatory AUM
- $5.66M
- AUM share
- 5.5%
- Avg. per client
- $809K
- Clients
- 11
- Regulatory AUM
- $82.1M
- AUM share
- 79.7%
- Avg. per client
- $7.47M
- Clients
- Fewer than 5
- Regulatory AUM
- $15.2M
- AUM share
- 14.8%
- Avg. per client
- —
Total
- Clients
- 18
- Regulatory AUM
- $103M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 3
- Private funds advised
- 0
Riverstone Asset Management charges 0.35%–1.00% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$500K | 1.00% |
| $500K–$1M | 0.90% |
| $1M–$2M | 0.70% |
| $2M–$3M | 0.50% |
| $3M–$5M | 0.40% |
| $5M and above | 0.35% |
Fee details and sources
Other fees
- Employee Benefit Retirement Plan Services
- Plan services are billed as a percentage of plan assets: a total fee of 0.90% on the first $1 million, stepping down to 0.20% above $10 million, including Focus Partners fees.
Louis T. Roth & Co PLLC owns 75% or more of Riverstone Asset Management. The leadership team of Riverstone Asset Management includes Chief Compliance Officer Jennifer Ringstaff. It has 2 employees.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Riverstone Asset Management, LLC
Louis T. Roth & Co PLLC
Control person · since February 2012
Besides its headquarters, Riverstone Asset Management has 0 offices, with 1 listed address in 1 state.
Kentucky · 1 listed address
- 2100 Gardiner Lane, Suite 207, LouisvilleHQ
Contact and registration details
- Legal name
- Riverstone Asset Management, LLC
- Headquarters
- 2100 Gardiner Lane, Suite 207, Louisville, KY 40205
- Website
- Not reported
- Phone
- 502-882-5580
- SEC file
- 801-136810
- Structure
- Kentucky LLC
- Fiscal year end
- December
Riverstone Asset Management’s named custodians for separately managed accounts are Charles Schwab ($85.7M, 85%) and Fidelity ($14.8M, 15%). Riverstone Asset Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $85.7M85%
- FidelityNational Financial Services LLC · Boston, MA · $14.8M15%
At year end, Riverstone Asset Management’s separately managed accounts were mostly in funds (58%) and cash (20%).
What the accounts hold
- Stocks3%
- Funds58%
- Bonds17%
- U.S. government and agency bonds11%
- State and local bonds6%
- Cash20%
- Other2%
- Annuities2%
How many clients does Riverstone Asset Management have?
Riverstone Asset Management has 18 clients and manages $103 million for them, as of June 2026. They include 11 high-net-worth individuals and 7 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 June 2026
What services does Riverstone Asset Management offer?
Riverstone Asset Management provides portfolio management for individuals and small businesses and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Riverstone Asset Management charge?
Riverstone Asset Management charges 0.35%–1.00% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
Source: RIVERSTONE ASSET MANAGEMENT LLC FORM ADV PART 2A, filed 23 June 2026
Which custodians does Riverstone Asset Management use?
Riverstone Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $85.7M and National Financial Services LLC (Boston, MA), with $14.8M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 June 2026
How many financial advisors does Riverstone Asset Management have?
Riverstone Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Riverstone Asset Management invest in?
At the end of its last fiscal year, Riverstone Asset Management’s separately managed accounts held 58% registered funds (mutual funds, ETFs, BDCs), 20% cash and equivalents, 11% U.S. government and agency bonds, 6% state and local bonds, 3% exchange-traded equities and 2% other. The 2% other category is described as: Annuities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Riverstone Asset Management?
Riverstone Asset Management’s direct owner is Louis T. Roth & Co PLLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 June 2026
How does Riverstone Asset Management get paid?
Riverstone Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Riverstone Asset Management?
Riverstone Asset Management’s main office is at 2100 Gardiner Lane, Suite 207, Louisville, KY 40205. Its phone number is 502-882-5580.