{"url":"https://nivawealth.com/firms/rivertree-wealth-329595","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/329595","regulatoryAum":143107874,"crd":"329595","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7141860","suffix":null,"lastName":"Duke","firstName":"Jacob","middleName":"Ivan"},{"crd":"6788400","suffix":null,"lastName":"Hilliard","firstName":"Sean","middleName":"Mark"},{"crd":"6450226","suffix":null,"lastName":"HOBBS","firstName":"JUSTIN","middleName":"MICHAEL"},{"crd":"7846162","suffix":null,"lastName":"Mize","firstName":"Shaun","middleName":"Douglas"}],"total":4,"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":"801-134383","legalName":"Rivertree Wealth LLC","displayName":"Rivertree Wealth","slug":"rivertree-wealth-329595","website":"https://rivertreewealth.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/329595/b995e4005d010c6f-r1.webp","tone":"light","width":991,"height":200,"sourceUrl":"https://www.rivertreewealth.com/","sourceLabel":"Rivertree Wealth, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/rivertreewealth/","founded":null,"organization":"Arkansas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"415 N. McKinley St., Suite 1047","city":"Little Rock","state":"AR","stateName":"Arkansas","country":"United States","postalCode":"72205"},"tradeNames":[],"registration":{"secApproved":"22 September 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":856933.377245509,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":143107874,"discretionary":143107874,"discretionaryAccounts":671,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":165},"clientTypes":[{"label":"Individuals (other than HNW)","clients":111,"regulatoryAum":48818347},{"label":"High-net-worth individuals","clients":56,"regulatoryAum":94289527}],"feePrograms":[{"role":"main","program":"Asset-based investment management","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1,"from":0},{"to":1000000,"pct":0.9,"from":500000},{"to":3000000,"pct":0.75,"from":1000000},{"to":10000000,"pct":0.5,"from":3000000},{"to":null,"pct":0.25,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058194","versionId":1058194,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-09-17","documentName":"2026-09-17 RIVERTREE WEALTH FORM ADV PART 2A","fee_rate_low":0.25,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning is hourly at $250 an hour, up to 40 hours per engagement, or a fixed fee of $2,500 to $12,000; half of a fixed fee is due at the start.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058194","versionId":1058194,"submittedOn":"2026-09-17","documentName":"2026-09-17 RIVERTREE WEALTH FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:40:00.344886+00:00","documents":[{"name":"2026-09-17 RIVERTREE WEALTH FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058194","versionId":1058194,"submittedOn":"2026-09-17"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":102742021}],"custodyNote":"Rivertree Wealth does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jacob Duke","title":"CCO, Member","crd":"7141860"}],"ownership":[{"label":"Jacob Duke","detail":"Cco, member in the 75% or more ownership band and a control person, since January 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":3},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arkansas","offices":1,"addresses":[{"street":"415 N. McKinley St., Suite 1047","city":"Little Rock","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"501-500-0893","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":94},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"17 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/329595/PDF/329595.pdf","brochureDate":"17 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058194","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 Rivertree Wealth have?","answer":"Rivertree Wealth has 167 clients and manages $143 million for them, as of September 2026. They include 111 individual clients and 56 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rivertree Wealth offer?","answer":"Rivertree Wealth provides financial planning and portfolio management for individuals and small businesses.","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 Rivertree Wealth charge?","answer":"Rivertree Wealth charges 0.25%–1.00% a year for its Asset-based investment management. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"2026-09-17 RIVERTREE WEALTH FORM ADV PART 2A, filed 17 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Rivertree Wealth use?","answer":"Rivertree Wealth’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $103M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rivertree Wealth have?","answer":"Rivertree Wealth has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 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 Rivertree Wealth invest in?","answer":"At the end of its last fiscal year, Rivertree Wealth’s separately managed accounts held 94% registered funds (mutual funds, ETFs, BDCs), 4% exchange-traded equities, 1% pooled vehicles (private funds and similar) and 1% cash and equivalents.","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 Rivertree Wealth?","answer":"Rivertree Wealth’s direct owner is Jacob Duke (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rivertree Wealth get paid?","answer":"Rivertree Wealth is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Rivertree Wealth?","answer":"Rivertree Wealth’s main office is at 415 N. McKinley St., Suite 1047, Little Rock, AR 72205. Its phone number is 501-500-0893. Its website is rivertreewealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 17 September 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."}