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New River Investments

Updated today

Client assets under management

$24,677,353

Clients

53

17% high-net worth

Advisors

3

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

18

Very Low

Average account size

$465,610

About

New River Investments provides discretionary portfolio management to individuals, high-net-worth clients, and business entities through separately managed accounts and by serving as investment adviser to a related private fund, New River Investments Special Opportunities LP. Services include developing client-specific Investment Policy Statements, asset allocation and security selection, and charging asset-based fees with performance-based fee arrangements for qualified clients.

The firm employs multiple methods of analysis — including charting, fundamental, technical, cyclical and statistical analysis — and implements strategies ranging from long-term investing to short-term trading, including short sales, margin transactions, futures spreading and options writing. NRI typically manages accounts on a discretionary basis under written Investment Policy Statements and discloses the material risks associated with leverage, derivatives and short-term trading.

Noteworthy distinctions include its role with a related pooled vehicle whose general partner, Roditi & Roditi LLC, is registered as a commodity pool operator, and the firm’s use of performance-based compensation (a stated 10% of net profits above a high-water mark for qualified clients) alongside standard asset-based fees. The brochure also discloses a prior regulatory settlement involving Roditi & Roditi LLC and a principal related to late pool reporting, and describes third‑party administration and annual auditing for the related fund — features that set it apart from many peers.

Client services

Portfolio management

Expertise

Active portfolio management Options & derivatives strategies Real estate investing

Fee options

Percentage

$0 - $1,000,000: 1.50% $1,000,000+: 1.00%

Performance-based

1.00% asset-based fee plus 10% of net profits above a mutually agreed upon high water mark

Other

Account minimum: $50,000 Fee-only: 0.50% - 1.50% annual fee for part fixed/part actively managed accounts; 1.00% annual fee for fixed income/passive accounts

Main office location

New River Investments

Los Angeles CA, United States

Number of offices

1

Most active in

California · Florida · Georgia · Louisiana · North Carolina · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Guillermo R

Series 65, Series 66

Los Angeles, CA

New River Investments

Guillermo Roditi Dominguez is a financial advisor at New River Investments with 19 years of industry experience. He holds Series 65 and Series 66 licenses and has worked at Roditi & Roditi, LLC since 2012 and New River Investments Inc. since 2011. New River Investments provides discretionary portfolio management to individuals, high-net-worth clients, and certain business entities through separately managed accounts and a related-person private fund. The firm employs a multifaceted investment approach combining charting, fundamental, technical, cyclical, and statistical analysis, utilizing strategies such as long and short trading, margin transactions, and options writing.

Active portfolio management Options & derivatives strategies Real estate investing
user avatar

Alberto R

Series 63, Series 65

Los Angeles, CA

New River Investments

Alberto Roditi is a financial advisor at New River Investments with 24 years of industry experience. He holds Series 63 and Series 65 licenses and has served as a principal at Roditi & Roditi LLC since 2012. New River Investments provides discretionary portfolio management to individuals, high-net-worth clients, and certain business entities, utilizing written Investment Policy Statements to tailor portfolios. The firm employs a range of investment strategies, including derivatives and performance-based fee arrangements, and manages both separately managed accounts and a related-person private fund.

Active portfolio management Options & derivatives strategies Real estate investing
user avatar

Samantha P

Series 65

Los Angeles, CA

New River Investments

Samantha Powell is a financial advisor at New River Investments in Los Angeles, CA, holding a Series 65 designation with eight years of industry experience. She has been with New River Investments since 2014. New River Investments provides discretionary portfolio management to individuals, high-net-worth clients, and certain business entities through separately managed accounts and by advising a related private fund. The firm utilizes a combination of charting, fundamental, technical, cyclical, and statistical analysis and employs a range of trading strategies, including the use of derivatives.

Active portfolio management Options & derivatives strategies Real estate investing
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