Overview
The Firm and its Principal Owners
A. General Description of Advisory Business
Ridgeview is a Delaware limited liability company which commenced operations in
November 2016. Ridgeview is owned by Co-Founders Michael W. Robinson and John
W. Watkins. Mr. Robinson serves as the Chief Executive Officer, Chief Investment Officer
and Chief Compliance Officer of Ridgeview. Mr. Watkins serves as the Executive
Chairman.
B. Description of Advisory Services
Ridgeview offers customized discretionary investment advisory services to high net worth
individuals, families, trusts, foundations, and endowments (referred to herein as
“Individual Clients” and each an “Individual Client”) through separately managed accounts
(“SMAs”). Ridgeview advises Individual Clients regarding the allocation of their
investment portfolio. Ridgeview generally directs its Individual Clients’ assets through
rules-based, risk-controlled investment strategies developed after close consultation and
review of each Individual Client’s risk profile and financial situation. Individual Client
assets are generally allocated to a broad range of global asset classes, which may include,
but not be limited to, U.S. and non-U.S. equities, U.S. government, agency, municipal and
corporate bonds, money market instruments, commodities, and exchange-traded funds
(“ETFs”). Ridgeview may, at its discretion, engage various sub- advisers (“Sub-Adviser”),
with an Individual Client’s consent, to implement some of such Individual Client’s SMA
asset allocation across different asset classes. Any such Sub-Advisers have discretionary
authority to make any such investment decisions within the Individual Client’s SMA. In
this instance, Sub-Advisers have the authority to invest in a variety of asset types, including
mutual funds, ETFs, individual stocks and bonds, alternative investments, and cash.
Ridgeview also provides discretionary investment advisory services to a variety of closed-
end private investment
real estate funds, fund of funds, and special purpose vehicles formed
as Delaware limited partnerships (the “Funds” and each a “Fund” and collectively with the
Individual Clients, the “Clients” and each a “Client”) in which both qualified Clients and
non-Clients are generally permitted to invest. A more complete description of the
investment strategy specific to the Funds is outlined in each Fund’s relevant offering
documents. The terms of the advisory relationship between Ridgeview and each Fund, as
well as the terms governing an investment in a Fund, are set forth in each Fund’s offering
and related documents (the “Offering Documentation”). Ridgeview has ultimate discretion
and control over the Funds and their investments.
C. Availability of Customized Advisory Services
The investment services offered by Ridgeview with respect to any Individual Client are
subject to the terms and conditions set forth in the SMA with such Individual Client.
Ridgeview works with each of its Individual Clients to evaluate their financial goals and
objectives and their risk tolerance to recommend an allocation Ridgeview believes is
appropriate for each Individual Client. Each Individual Client portfolio is customized
based on each Individual Client’s risk/return profile and financial goals and objectives.
Individual Clients may impose restrictions on investing in certain securities or types of
securities.
The investment services offered by Ridgeview with respect to a Fund are set forth in the
applicable Offering Documentation. Investors in a Fund generally cannot impose
restrictions on the types of securities or investments that are made on such Fund’s behalf.
D. Wrap Fee Programs
Ridgeview does not currently offer wrap fee programs.
E. Assets Under Management
As of December 31, 2023, Ridgeview manages approximately $273,000,000 on a
discretionary basis on behalf of its Clients. Ridgeview does not manage any assets on a
non-discretionary basis.