Catawba River Capital
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$286,143,165
Clients
257
Advisors
3
of 4 employees
About
Catawba River Capital provides wealth management and investment consulting primarily to high‑net‑worth individuals, associated trusts, pension or profit‑sharing plans, charitable organizations, and other legal entities, offering both discretionary and non‑discretionary portfolio management alongside financial planning services. The firm also provides private investment consulting, researching and recommending unaffiliated direct private investments and offering ongoing advisory support for those positions.
The firm describes its investment approach as conservative and scenario‑based, relying on fundamental analysis and longer‑term holding periods while retaining the flexibility to use strategies such as short selling and options writing for appropriate clients. Catawba River Capital may engage sub‑advisers or third‑party money managers and customizes services to client circumstances, including legacy arrangements for some long‑standing clients.
Distinctive features include a formal private investment consulting program that evaluates and recommends direct private funds and private equity opportunities — activities that carry added liquidity and regulatory risks and that the firm discloses to clients. The firm also offers tax preparation services to clients (a disclosed potential conflict of interest), does not vote client proxies (clients retain voting authority), and maintains compliance oversight of employee and principal personal investments that may overlap with client holdings.
Client services
Expertise
Fee options
$150 per hour for financial planning services, negotiable
Account minimum: $500,000 Minimum fee: $5,000 annual minimum fee for clients with less than $500,000 AUM, charged quarterly at $1,250 and may be waived in certain circumstances
Main office
4100 Charlotte Hwy.
Lake Wylie SC 29710
Advisors at this office
3
Most active in
Florida · North Carolina · Ohio · South Carolina · Texas · Virginia
Also doing business as
Boggs Financial Group, Inc. · Catawba River Capital · R.P. Boggs & Co. · R.P. Boggs & Co. Wealth Management
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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.
Quick links
Advisors at this firm
Derek L
CFP®, Series 66
Lake Wylie, SC
Catawba River Capital
Derek Lewis is a CFP® and Series 66 designee with 13 years of industry experience. He has been with R.P. Boggs & Co. since 2012. Lewis is based in Lake Wylie, South Carolina, and is currently affiliated with Catawba River Capital. Catawba River Capital provides wealth management and investment consulting services primarily to high-net-worth individuals, trusts, pension and profit-sharing plans, charitable organizations, and other legal entities. The firm employs a conservative, scenario-based investment approach with a focus on fundamental analysis and longer-term holdings, while also incorporating strategies such as short selling and options writing when suitable.
Robert B
Series 63, Series 66
Lake Wylie, SC
Catawba River Capital
Robert Boggs is a financial advisor at Catawba River Capital with 25 years of industry experience. He holds Series 63 and Series 66 designations and has been with R.P. Boggs & Co. since 2005. Catawba River Capital provides wealth management and investment consulting primarily to high-net-worth individuals, trusts, pension or profit-sharing plans, charitable organizations, and other legal entities. The firm employs a conservative, scenario-based investment approach with fundamental analysis and longer-term holding periods, offering discretionary and non-discretionary portfolio management as well as private investment consulting focused on direct private funds and private equity opportunities.
Jonathan S
Series 65
Lake Wylie, SC
Catawba River Capital
Jonathan Shaw Jr. is a financial advisor at Catawba River Capital with two years of industry experience. He holds a Series 65 designation and previously worked at R.P. Boggs & Co. Wealth Management, Core Scientific, Flexential, and PricewaterhouseCoopers. Catawba River Capital provides wealth management and investment consulting primarily to high-net-worth individuals, trusts, pension or profit-sharing plans, and charitable organizations. The firm employs a conservative, scenario-based investment approach with a focus on fundamental analysis and longer-term holding periods, while offering a formal private investment consulting program that evaluates direct private funds and private equity opportunities.
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