Catawba River Capital
- Regulatory AUM
- $325M
- Discretionary
- $271M
- Clients
- 275
- Avg AUM / client
- $1.2M
- Accounts
- 896
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 139 | $45.8M | 14.1% |
| High net worth individuals | 118 | $240M | 73.9% |
| Pension and profit sharing plans | 6 | $22.2M | 6.83% |
| Charitable organizations | 4 | $2.6M | 0.78% |
| Corporations and other businesses | 8 | $14.2M | 4.37% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Paul Boggs | President | Jul 2000 (26y) | 75% or more | |
| Derek Martin Lewis | Chief Compliance Officer | CFP | Apr 2018 (8y) | 5% – 10% |
| Jonathan A Shaw | Registered representative | Apr 2023 (3y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/18/2026 | 903 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $303M (93% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 18, 2026.
View current Form ADV (SEC/IAPD) ↗