Neuse River Capital, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$15,000,000
Total clients
21
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
21
Average account size
$714,286
About
Neuse River Capital is a small, independent advisory firm that provides discretionary portfolio management to individuals, trusts, estates, and charitable organizations, and offers guidance on “held-away” assets such as employer-sponsored retirement plans. The firm typically serves individual (non‑high‑net‑worth) households and arranges account administration through a qualified custodian.
The firm constructs customized asset allocations based on each client’s risk tolerance, income needs, and tax sensitivity, and monitors portfolios on an ongoing basis with periodic rebalancing and monthly reviews. Its investment approach combines fundamental and technical analysis and can include long‑ and short‑term positions in ETFs, mutual funds, and individual securities, while advising clients to consult tax professionals because tax efficiency is not the primary management objective.
Distinctive aspects include the boutique scale—managing approximately $15 million for a limited number of clients—and the principal’s uncommon professional background (a combined JD/MBA) as well as an outside life‑coaching practice disclosed as separate from the advisory business. The firm also offers paid analysis of held‑away assets, does not vote client proxies, and relies on an institutional custodian relationship for trade execution and operational support, features that differ from many peers.
Client services
Portfolio management
Fund selection advice for "held away" assets in retirement plans.
Fund selection advice for "held away" assets in retirement plans.
Expertise
Wealth management
Income planning
Tax-loss harvesting
Fee options
$250 annual fee for advisory services on held-away assets (e.g., 401k accounts), may be invoiced separately or deducted from account
$0 - $1,000,000: 0.75% annually (0.1875% quarterly) $1,000,001 - $10,000,000: 0.50% annually (0.1250% quarterly) $10,000,001+: 0.25% annually (0.0625% quarterly)
Account minimum: $100,000 Minimum fee: $750 minimum annual fee for discretionary assets under management Fee-only: Blended percentage of AUM fee based on tiers as above, billed quarterly in arrears; minimum annual fee $750
Main office location
Neuse River Capital, LLC
Wilmington NC, United States
Number of offices
1
Most active in
Neuse River Capital, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona · North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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