Form CRS Relationship Summary – March 2024
Ridgeview Asset Management Partners, LLC
Ridgeview Asset Management Partners, LLC is a Delaware limited liability company that commenced operations in November 2016 and is an SEC registered investment adviser. Investment advisory and brokerage services and fees differ; therefore, it is important for you to understand the differences. You should carefully consider which types of accounts and services are right for you. Free and simple tools are available to research firms and financial professionals at www.Investor.gov/CRS, providing educational materials about broker-dealers, investment advisers, and investing.
WHAT INVESTMENT SERVICES AND ADVICE CAN YOU PROVIDE TO ME?
Ridgeview offers customized investment advisory services to high net worth individuals, families, trusts, foundations, and endowments (referred to herein as “Clients”). Ridgeview advises Clients regarding the allocation of their investment portfolio. Ridgeview generally directs its Clients’ assets through rules-based, risk-controlled investment strategies developed after close consultation and review of each Client’s risk profile and financial situation. 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, in its discretion, partner with various sub-advisers to implement its allocation decisions across different asset classes.
Ridgeview serves as the General Partner for several special purpose vehicles (“SPVs”) and an investment manager to affiliated private equity funds (the “Funds”). Ridgeview may, with respect to qualified-clients, recommend Clients to invest in Funds or future SPVs.
FOR ADDITIONAL INFORMATION, please see our Form ADV Part 2A brochure Items 4 and 7.
QUESTIONS TO ASK US:
- Given my financial situation, should I choose an investment advisory service? Why or why not?
- How will you choose investments to recommend me?
- What is your relevant experience, including your licenses, education, and other qualifications? What do these qualifications mean?
WHAT FEES WILL I PAY?
Fees and costs affect the value of your account over time. The following summarizes the fees and costs you will pay for our advisory services.
Investment Management Fees
Ridgeview
Account Type Annual Fee
Fixed Income Up to 0.65%
Taxable Core Equity Up to 1.00%
Institutional/Retirement Up to 0.65%
OTHER FEES AND COSTS
You will likely incur additional fees from brokerages, custodians, administrators, and other service providers, as appropriate. These fees are incurred as a result of managing a client account and are charged by the service provider. The amount and nature of these fees is based on the service provider’s fee schedule(s) at the provider’s sole discretion. Investments in the SPVs or Funds we manage will be subject to additional fees and expenses. Some investments (such as mutual funds and variable annuities) impose additional fees that will reduce the value of your investment over time. These fees are separate and distinct from any fees charged by the Adviser.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
FOR ADDITIONAL INFORMATION, please see our Form ADV Part 2A brochure Items 4, and 7.
WHAT ARE YOUR LEGAL OBLIGATIONS TO ME WHEN ACTING AS MY INVESTMENT ADVISER? HOW ELSE DOES YOUR FIRM MAKE MONEY AND WHAT CONFLICTS OF INTEREST DO YOU HAVE?
We are held to a fiduciary standard that covers our entire investment advisory relationship with you, including monitoring your portfolio, investment strategy, and investments on an ongoing basis, among other requirements. When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations and investment advice we provide you.
HOW DO YOUR FINANCIAL PROFESSIONALS MAKE MONEY?
The fees charged to you can vary from fees charged to other clients based on the amount of assets managed by your advisor, or the time and complexity needed to meet your needs.
FOR ADDITIONAL INFORMATION, please see our Form ADV Part 2A brochure Items 4, 5, and 10 and any brochure supplement your financial professional provides.
QUESTIONS TO ASK US:
- Help me understand how these fees and costs might affect my investments. If I give you $10,000 to invest, how much will go to fees and costs, and how much will be invested for me?
- How might your conflicts of interest affect me, and how will you address them?
DO YOU OR YOUR FINANCIAL PROFESSIONALS HAVE A LEGAL OR DISCIPLINARY HISTORY?
Yes, the firm has a disciplinary action. Please visit www.Investor.gov for a free search tool to research our financial professionals.
QUESTIONS TO ASK US:
- Do you or your financial professionals have a disciplinary history? For what type of conduct?
HOW DO I GET ADDITIONAL INFORMATION ABOUT YOUR FIRM AND SERVICES?
FOR ADDITIONAL INFORMATION ABOUT OUR SERVICES, see our Form ADV brochure on www.adviserinfo.sec.gov/IAPD and any brochure supplement your financial professional provides. Call us at 203-595-5535 to request up-to-date information and request a copy of the relationship summary.
QUESTIONS TO ASK US:
- Who is my primary contact person?
- Is he or she a representative of an investment adviser or a broker-dealer?
- Who can I talk to if I have concerns about how this person is treating me?
