RIVERSTONE WEALTH MANAGEMENT
CRD #40418 SEC #801-63700 AUSTIN, TX 512-476-5554
SEC Registered Broker-Dealer Disclosures
Total AUM
$161.5M
Discretionary
$107.5M
Employees
11
Clients
1
Accounts
892
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 30, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CRAPPS, WILLIAM HAYWOOD JR. | I | FINOP | NA | |
| CRAPPS, WILLIAM HAYWOOD JR. | I | FINOP | NA | |
| FAUGHT, THOMAS DUANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FAUGHT, THOMAS DUANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FAUGHT, THOMAS DUANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FAUGHT, THOMAS DUANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FAUGHT, THOMAS DUANE | I | CHIEF COMPLIANCE OFFICER | NA | |
| GALTER, MORRIS ARNOLD | I | MUNICIPAL PRINCIPAL, EXEC. VP, DIRECTOR, SROP/CROP | NA | Control |
| GALTER, MORRIS ARNOLD | I | DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | MUNICIPALS PRINCIPAL, EXEC. VP, DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | MUNICIPALS PRINCIPAL, EXEC. VP, DIRECTOR,OPTIONS PRINCIPAL AND SROP/CROP DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | MUNICIPAL PRINCIPAL, EXEC. VP, DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | MUNICIPAL PRINCIPAL, EXEC. VP, DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | MUNICIPAL PRINCIPAL, EXEC. VP, DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | MUNICIPAL PRINCIPAL, EXEC. VP, DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | MUNICIPAL PRINCIPAL, EXEC. VP, DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | DIRECTOR | NA | Control |
| GALTER, MORRIS ARNOLD | I | DIRECTOR | NA | Control |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR / EXECUTIVE VP | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR / EXECUTIVE VP | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR / EXECUTIVE VP | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR / EXECUTIVE VP | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR / EXECUTIVE VP | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR / EXECUTIVE VP | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| GAUTIER, PAUL KEVIN SR | I | DIRECTOR | NA | |
| HUNTLEY, CARL LANCE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HUNTLEY, CARL LANCE | I | CHIEF COMPLIANCE OFFICER, CHIEF SUPERVISORY OFFICER, | NA | Control |
| MALLARI, KATHLEEN | I | FINOP | NA | |
| MALLARI, KATHLEEN | I | FINOP | NA | |
| REEDER, CASSANDRA MICHELLE | I | FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF OPERATING OFFICER | NA | Control |
| REEDER, CASSANDRA MICHELLE | I | FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF OPERATING OFFICER | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VP, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VICE PRESIDENT, MUNICIPALS PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VICE PRESIDENT, MUNICIPALS PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VP, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VP, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VP, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VP, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | EXECUTIVE VP, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SCOTT, TORRY CHRISTIAN | I | DIRECTOR, MUNICIPAL PRINCIPAL | NA | Control |
| SMITH, BRIAN EDWARD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, BRIAN EDWARD | I | DIRECTOR / CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | DIRECTOR / CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | PRESIDENT, DIRECTOR OF RETAIL, OPTIONS PRINCIPAL, SROP/CROP DIRECTOR | NA | Control |
| SMITH, BRIAN EDWARD | I | OWNER | NA | Control |
| SMITH, BRIAN EDWARD | I | DIRECTOR / CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | PRESIDENT,CEO, DIRECTOR, SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | DIRECTOR / CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | DIRECTOR / CHIEF COMPLIANCE OFFICER / SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | PRESIDENT,CEO, DIRECTOR, SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | PRESIDENT,CEO, DIRECTOR, SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | PRESIDENT,CEO, DIRECTOR, SROP / CROP | NA | Control |
| SMITH, BRIAN EDWARD | I | PRESIDENT,CEO, DIRECTOR, SROP / CROP | NA | Control |
| VALLE, EDUARDO | I | DIRECTOR / EXECUTIVE VP | NA | |
| VALLE, EDUARDO | I | DIRECTOR, CFO, FINOP | NA | |
| VALLE, EDUARDO | I | DIRECTOR, CFO, FINOP | NA | |
| VALLE, EDUARDO | I | DIRECTOR, CFO, FINOP | NA | |
| VALLE, EDUARDO | I | SHAREHOLDER | NA | |
| VALLE, EDUARDO | I | DIRECTOR / EXECUTIVE VP | NA | |
| VALLE, EDUARDO | I | DIRECTOR / EXECUTIVE VP | NA | |
| VALLE, EDUARDO | I | DIRECTOR / EXECUTIVE VP | NA | |
| VALLE, EDUARDO | I | DIRECTOR / EXECUTIVE VP | NA | |
| VALLE, EDUARDO | I | DIRECTOR / EXECUTIVE VP | NA | |
| VALLE, EDUARDO | I | DIRECTOR, CFO, FINOP | NA | |
| VALLE, EDUARDO | I | DIRECTOR, CFO, FINOP | NA | |
| VALLE, EDUARDO | I | SHAREHOLDER | NA | |
| VALLE, EDUARDO | I | SHAREHOLDER | NA | |
| VALLE, EDUARDO | I | SHAREHOLDER | NA | |
| VALLE, EDUARDO | I | SHAREHOLDER | NA | |
| WEEKS, KYLE AARON | I | SECONDARY FINOP | NA | |
| WEEKS, KYLE AARON | I | SECONDARY FINOP | NA | |
| WEEKS, KYLE AARON | I | SECONDARY FINOP | NA | |
| WEEKS, KYLE AARON | I | FINOP | NA | |
| WEEKS, KYLE AARON | I | FINOP | NA | |
| WEEKS, KYLE AARON | I | FINOP | NA | |
| WEEKS, KYLE AARON | I | FINOP | NA | |
| WEEKS, KYLE AARON | I | FINOP | NA | |
| WEEKS, KYLE AARON | I | SECONDARY FINOP | NA | |
| WEEKS, KYLE AARON | I | SECONDARY FINOP | NA | |
| WEEKS, KYLE AARON | I | FINOP | NA | |
| WEEKS, KYLE AARON | I | FINOP | NA | |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
| RIVERSTONE FINANCIAL GROUP, INC. | DE | SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
| SMITH, BRIAN EDWARD | I | RIVERSTONE FINANCIAL GROUP, INC. | C | Control |
Registrations
Federal
IA
Jul 30, 2012 REGISTERED
Notice Filings (12)
CA CO FL IN LA NH NM NY TX VA WA WI
Address
7801 CAPITAL OF TEXAS HWYSUITE 310
AUSTIN, TX 78731
United States
Phone: 512-476-5554