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Douglas Martens Isenberg

Neuse River Capital, LLC

Wilmington, NC

CRD 5279869

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Employer firm

Neuse River Capital, LLC CRD 156343

$15.0M regulatory AUM 21 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • FUND SELECTION ADVICE FOR "HELD AWAY" ASSETS IN RETIREMENT PLANS.

From the firm’s Form ADV. Read the guides:

Current Employers
Neuse River Capital, Llc

Wilmington, NC • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2015-03-17
NC RA APPROVED 2011-02-18
  • AZ RA
    APPROVED
    Since 2015-03-17
  • NC RA
    APPROVED
    Since 2011-02-18

Branch Locations

Wilmington, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Neuse River Capital, Llc Raleigh NC 01/2011 Present
Previous Registrations
  • 2009-01-26 → 2011-01-06
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Raleigh, NC
  • 2007-02-21 → 2008-12-31
    Bb&T Investment Services, Inc.
    Raleigh, NC
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-20
  • S66 Uniform Combined State Law Examination
    2007-02-20

View on SEC IAPD

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