{"url":"https://nivawealth.com/firms/riverstone-asset-management-161087","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161087","regulatoryAum":103037541,"crd":"161087","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6069955","suffix":null,"lastName":"JOHNSON","firstName":"ERIC","middleName":"LYNN"},{"crd":"6029231","suffix":null,"lastName":"RINGSTAFF","firstName":"JENNIFER","middleName":"SUSAN"}],"total":2,"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"},"secFileNumber":"801-136810","legalName":"Riverstone Asset Management, LLC","displayName":"Riverstone Asset Management","slug":"riverstone-asset-management-161087","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Kentucky limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2100 Gardiner Lane, Suite 207","city":"Louisville","state":"KY","stateName":"Kentucky","country":"United States","postalCode":"40205"},"tradeNames":[],"registration":{"secApproved":"22 July 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4878547.277777778,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":103037541,"discretionary":103037541,"discretionaryAccounts":69,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":7,"regulatoryAum":5664998},{"label":"High-net-worth individuals","clients":11,"regulatoryAum":82148853},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":15223690}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1,"from":0},{"to":1000000,"pct":0.9,"from":500000},{"to":2000000,"pct":0.7,"from":1000000},{"to":3000000,"pct":0.5,"from":2000000},{"to":5000000,"pct":0.4,"from":3000000},{"to":null,"pct":0.35,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049189","versionId":1049189,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-06-23","documentName":"RIVERSTONE ASSET MANAGEMENT LLC FORM ADV PART 2A","fee_rate_low":0.35,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Employee Benefit Retirement Plan Services","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049189","versionId":1049189,"submittedOn":"2026-06-23","documentName":"RIVERSTONE ASSET MANAGEMENT LLC FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:28:59.561408+00:00","documents":[{"name":"RIVERSTONE ASSET MANAGEMENT LLC FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049189","versionId":1049189,"submittedOn":"2026-06-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":85684868},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":14849457}],"custodyNote":"Riverstone Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jennifer Ringstaff","title":"Manager / Chief Compliance Officer","crd":"6029231"}],"ownership":[{"label":"Louis T. Roth & Co PLLC","detail":"Member in the 75% or more ownership band and a control person, since February 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Kentucky","offices":1,"addresses":[{"street":"2100 Gardiner Lane, Suite 207","city":"Louisville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"502-882-5580","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"U.S. government/agency bonds","percent":11},{"label":"U.S. state and local bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":58},{"label":"Cash and cash equivalents","percent":20},{"label":"Other","percent":2,"detail":"Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"23 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/161087/PDF/161087.pdf","brochureDate":"23 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049189","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Riverstone Asset Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Riverstone Asset Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Riverstone Asset Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Riverstone Asset Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Riverstone Asset Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Riverstone Asset Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Riverstone Asset Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Riverstone Asset Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Riverstone Asset Management?","answer":"Riverstone Asset Management’s main office is at 2100 Gardiner Lane, Suite 207, Louisville, KY 40205. Its phone number is 502-882-5580.","source":"Form ADV Part 1A, Item 1.F, filed 23 June 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."}