RIVER & MERCANTILE LLC

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River & Mercantile is based out of Waltham. River & Mercantile is a large advisory firm with 61 clients and discretionary assets under management (AUM) of $1,005,000,000 (Form ADV from 2018-12-01). Their last reported 13F filing for Q2 2020 included $170,757,000 in managed 13F securities and a top 10 holdings concentration of 89.18%. River & Mercantile's largest holding is Schwab U.S. Broad Market ETF with shares held of 421,648. Whalewisdom has at least 23 13F filings

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06/30/2020

13F Activity

  • Market Value $170.757 Million
  • Prior Market Value $104.83 Million
  • New Purchases4 stocks
  • Additional Purchases4 stocks
  • Sold out of0 stocks
  • Reduced holdings in5 stocks
  • Top 10 Holdings % 89.18 %
  • Turnover % [1]:18.18%
  • Turnover Alt % [2]: 34.60 %
  • Time Held Top20:7.60 quarters
  • Time Held Top10:6.00 quarters
  • Time Held All:9.64 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 33.86%
Performance Last 4 Quarters: -7.48%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

RIVER AND MERCANTILE LLC
130 TURNER ST. SUITE 510
WALTHAM MA    02453
Country: United States

Business Phone: 781-373-6900
Fax: 781-373-6902
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Pension consultant
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 42
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 265,200,000
Total Number of Clients: 61
Amount of client funds and securities by related persons: 265,200,000
Total Number of clients from related persons: 6
Disclosures: 11.H (1).(c)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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RIVER AND MERCANTILE LLC

ownership team - last updated 2020-06-15
Name Title Start Date Direct/Indirect % Ownership
RIVER AND MERCANTILE US HOLDINGS LTD OWNER 04/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL & CO LLC OWNER direct 2000-04-01
MAHONEY, TERENCE, PATRICK US HEAD OF LEGAL AND COMPLIANCE, CHIEF COMPLIANCE OFFICER 06/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
MANULIFE FINANCIAL SECURITIES LLC ASSISTANT SECRETARY direct 2002-07-01
RIVER AND MERCANTILE GROUP PLC INDIRECT OWNER RIVER AND MERCANTILE US HOLDINGS LTD 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL LLC INDIRECT OWNER indirect 2009-01-01
P-SOLVE LLC INDIRECT OWNER indirect 2014-03-01

RIVER AND MERCANTILE LLC

ownership team - last updated 2019-09-27
Name Title Start Date Direct/Indirect % Ownership
RIVER AND MERCANTILE US HOLDINGS LTD OWNER 04/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL & CO LLC OWNER direct 2000-04-01
MCGLOTHLIN, RYAN, DARDEN MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER 12/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL LLC CO-MANAGING DIRECTOR direct 2009-01-01
P-SOLVE LLC MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER direct 2009-12-01
PUNTER SOUTHALL LLC MANAGING DIRECTOR direct 2009-12-01
RIVER AND MERCANTILE GROUP PLC INDIRECT OWNER RIVER AND MERCANTILE US HOLDINGS LTD 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL LLC INDIRECT OWNER indirect 2009-01-01
P-SOLVE LLC INDIRECT OWNER indirect 2014-03-01

RIVER AND MERCANTILE LLC

ownership team - last updated 2018-05-01
Name Title Start Date Direct/Indirect % Ownership
P-SOLVE HOLDINGS LTD OWNER 04/01/2000 Direct 75% or more
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL & CO LLC OWNER direct 2000-04-01
MCGLOTHLIN, RYAN, DARDEN MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER 12/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL LLC CO-MANAGING DIRECTOR direct 2009-01-01
P-SOLVE LLC MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER direct 2009-12-01
PUNTER SOUTHALL LLC MANAGING DIRECTOR direct 2009-12-01
RIVER AND MERCANTILE GROUP LIMITED INDIRECT OWNER P-SOLVE HOLDINGS LIMITED 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL LLC INDIRECT OWNER indirect 2009-01-01
P-SOLVE LLC INDIRECT OWNER indirect 2014-03-01
P-SOLVE HOLDINGS LTD DIRECT OWNER P-SOLVE LLC 03/01/2014 Indirect 75% or more
Fund Name Position direct/indirect start date end date
PUNTER SOUTHALL & CO. LLC PARENT COMPANY direct 2000-04-01
P-SOLVE LLC DIRECT OWNER indirect 2014-03-01

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