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Employer firm

Rivernorth Capital Management, LLC CRD 122020

$6.17B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)

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

Current Employers
Rivernorth Capital Management, Llc

360 S. Rosemary Ave Suite 1420, West Palm Beach, FL 33401 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2012-12-10
  • IL RA
    APPROVED
    Since 2012-12-10

Branch Locations

360 S. Rosemary Ave Suite 1420, West Palm Beach, FL 33401 • 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
Rivernorth Capital Management Chicago IL 05/2012 01/2023
Alps Distributors Inc Denver CO 05/2012 Present
Rivernorth Capital Management West Palm Beach FL 01/2023 Present
  • 05/2012 → 01/2023
    Rivernorth Capital Management
    Chicago, IL
  • 05/2012 → Present
    Alps Distributors Inc
    Denver, CO
  • 01/2023 → Present
    Rivernorth Capital Management
    West Palm Beach, FL
Previous Registrations
  • 2010-09-20 → 2012-05-08
    Alpha Capital Management, Llc
    Atlanta, GA
  • 2010-12-09 → 2012-05-08
    Alpha Capital Funds Management
    Atlanta, GA
  • 2008-12-03 → 2010-05-27
    Atlanta, GA
  • 2008-01-10 → 2008-09-22
    Cross Creek Capital Management
    Atlanta, GA
Other Businesses

RiverNorth Capital Management; Investment-Related; 360 S. Rosemary Avenue West Palm Beach, FL 33401; RIA; Senior Portfolio Specialist; 05/01/2012; 160 HRS/MON; 130 HRS/MON During Trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-10-19
S66 Uniform Combined State Law Examination 2009-04-02
  • S63 Uniform Securities Agent State Law Examination
    2012-10-19
  • S66 Uniform Combined State Law Examination
    2009-04-02
Designations
  • Chartered Financial Analyst
Other Names
  • William A. Webb
  • Allen Webb
  • W. Allen Webb
  • William Allen Webb

View on SEC IAPD

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