Data / Investment advisers / South Carolina / Catawba River Capital
Catawba River Capital, Lake Wylie, SC: $325 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Catawba River Capital is an SEC registered investment adviser with its main office in Lake Wylie, South Carolina and reports $325 million in regulatory assets under management in its Form ADV filed February 18, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management and hourly charges.
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- Registration
- SEC registered investment adviser
- CRD number
- 134217
- SEC file number
- 801-113237
- SEC status
- Approved, effective May 16, 2018
- Main office
- 4100 Charlotte Hwy., Lake Wylie, SC 29710
- Phone
- (803) 831-0911
- Regulatory AUM
- $325,111,772 in the Form ADV filed February 18, 2026
- Discretionary AUM
- $271,170,353
- Non discretionary AUM
- $53,941,419
- Accounts
- 896
- Employees
- 4, of which 3 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- February 18, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 118 | $240.3 million |
| Individuals (other than high net worth individuals) | 139 | $45.8 million |
| Pension and profit sharing plans | 6 | $22.2 million |
| Corporations or other businesses | 8 | $14.2 million |
| Charitable organizations | 4 | $2.6 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $325.1 million | February 18, 2026 |
| December 1, 2025 | $262.4 million | March 19, 2025 |
Other advisers in South Carolina
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Hanover Advisors, Inc | Seneca | $354.9 million | Not listed | adviserinfo.sec.gov |
| Norris Financial Group, LLC | Greenville | $353 million | Not listed | adviserinfo.sec.gov |
| Altriarch Asset Management, LLC | Charleston | $349.1 million | 7 | adviserinfo.sec.gov |
| Core Advisory Group | Rock Hill | $338.4 million | Not listed | adviserinfo.sec.gov |
| Apricus Wealth LLC | Beaufort | $335.7 million | Not listed | adviserinfo.sec.gov |
| Nicholson Wealth Management Group | Charleston | $322 million | Not listed | adviserinfo.sec.gov |
| Bca Private Wealth, Inc. | Greenville | $317.3 million | Not listed | adviserinfo.sec.gov |
| Carolina Wealth Advisors | Myrtle Beach | $313.4 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in South Carolina
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Catawba River Capital on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.