Frequently Asked Questions:
What is your investment methodology?
We use active investment strategies that are designed to be adaptive to the ever-changing conditions of the market.
Our objective is to reduce portfolio risk and provide above-average growth over a market cycle by using a quantitative, mathematical rule-based approach.
What is your background/firm history?
Riverbend was formed in 2006 by John Rothe to provide our clients with investment strategies to help their portfolio grow in rising markets and be protected from major market drops — a concept that seems to be ignored by most of Wall Street.
You can view our ADV on the SEC’s Investment Adviser Public Disclosure website at www.sec.gov
Background – John Rothe
John has been managing client assets for nearly 25 years. Some highlights include:
Vice President, Investments
Oppenheimer & Co
VP, OMEGA Portfolio Manager
University of Maryland, Finance
Series 3 – National Commodities Futures Examination
Series 7 – General Securities Representative Qualification Examination
Series 24 – General Securities Principal Qualification Examination
Series 63 – Uniform Securities Agent License
Series 65 – Uniform Investment Adviser Law Examination
NAAIM – National Association of Active Investment Advisors
MTA – Market Technicians Association
XYPN – XY Planning Network
What services do you offer your clients
We are investment managers with a focus on risk-managed investment strategies.
Our typical client is looking for an adaptive and active investment management strategy to help them grow their portfolio.
Note: We do not provide insurance planning or traditional financial planning (ie budgeting, estate planning, etc).
What is your firm’s fee schedule?
We charge a flat monthly rate of 0.16%. This is calculated as follows:
Month-end value of portfolio x 0.16% = Asset Management fee
Where can I find reviews, testimonials, clients I can speak to, etc?
Where will my account be held?
We use a 3rd party custodian, TD Ameritrade Institutional. You can read more about our relationship with TD Ameritrade here (PDF)
How is my account protected?
TD Ameritrade is a member of the Securities Investor Protection Corporation (SIPC). Securities in your account are protected up to $500,000, with a cash limit of $250,000.
Additionally, TD Ameritrade provides each client $149.5 million worth of protection for securities and $2 million of protection for cash through supplemental coverage.
Where can I learn more?
The best way to learn more is to contact us directly: Contact Us