Firm profile

Riva Ridge Capital Management LP

NEW YORK, NYCRD 137716Registration Status: ApprovedEffective since March 1, 2012SEC # 801-73405Latest ADV March 29, 2026

Riva Ridge Capital Management LP is an SEC registered investment adviser organized as a limited partnership with a primary office location in New York, NY. Its latest Form ADV filing, dated March 29, 2026, reports $758M in regulatory assets under management, 8 employees, 1 office, and 11 accounts.

Assets Under Management
$758M
Employees
8
Offices
1 office
Total Clients
11

Associated firm names

1 name listed
  • RIVA RIDGE CAPITAL MANAGEMENT LP

Leadership

2 roles identified
CCODennis E. Parks
CFODennis E. Parks

Advisory services offered

2 types reported
Other advisory services
Portfolio management for pooled investment vehicles

Fee models offered

2 types reported
Asset based fees
Performance-based fees

Offices & Contact

Primary office

NEW YORK, New York, United States

Loading map…

Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

New York

NEW YORKPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$758Mas of March 29, 2026
Discretionary100.0%
$758M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentPooled Investment Vehicles represent 81.8% of total clients.
Top client categories% of clientsClients
1
Pooled Investment Vehicles
81.8%
9
2
Corporations
18.2%
2

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$758M
Total Accounts11
10Y AUM Change+$307M (+68.2%)

Private Funds

Private funds reported by Riva Ridge Capital Management LP

Loading private fund disclosures…

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees8
Clients per Employee1:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
STEPHEN HARRIS GOLDENDirect owner · Schedule AInterest in RIVA RIDGE CAPITAL MANAGEMENT LP
75%+
RIVA RIDGE GP LLCDirect owner · Schedule AInterest in RIVA RIDGE CAPITAL MANAGEMENT LP
10% to < 25%
JAMES (NMN) SHIMDirect owner · Schedule AInterest in RIVA RIDGE CAPITAL MANAGEMENT LP
< 5%
PETER THOMAS FINELLIDirect owner · Schedule AInterest in RIVA RIDGE CAPITAL MANAGEMENT LP
< 5%
STEPHEN HARRIS GOLDENIndirect owner · Schedule BInterest in RIVA RIDGE GP LLC
50% to < 75%
PETER THOMAS FINELLIIndirect owner · Schedule BInterest in RIVA RIDGE GP LLC
25% to < 50%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Riva Ridge Capital Management LP.

Reported ownership and control details

Form ADV · Filing date 2026-03-29 · Schedules A and B

7 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1RIVA RIDGE GP LLCGENERAL PARTNERDomestic entityRIVA RIDGE CAPITAL MANAGEMENT LP10% to less than 25%Code BYesGENERAL PARTNER04/2003Schedule APDF page 51
2STEPHEN HARRIS GOLDENFOUNDING PARTNER AND PORTFOLIO MANAGER, LIMITED PARTNERIndividualRIVA RIDGE CAPITAL MANAGEMENT LP75% or moreCode EYesFOUNDING PARTNER AND PORTFOLIO MANAGER, LIMITED PARTNER02/2003Schedule APDF page 51
3JAMES (NMN) SHIMFOUNDING PARTNER AND SENIOR ADVISOR, LIMITED PARTNERIndividualRIVA RIDGE CAPITAL MANAGEMENT LPLess than 5%Code NAYesFOUNDING PARTNER AND SENIOR ADVISOR, LIMITED PARTNER02/2003Schedule APDF page 51
4DENNIS EVAN PARKSCFO, CCOIndividualRIVA RIDGE CAPITAL MANAGEMENT LPLess than 5%Code NAYesCFO, CCO06/2003Schedule APDF page 52
5PETER THOMAS FINELLIMANAGING PARTNER AND PORTFOLIO MANAGER, LIMITED PARTNERIndividualRIVA RIDGE CAPITAL MANAGEMENT LPLess than 5%Code NAYesMANAGING PARTNER AND PORTFOLIO MANAGER, LIMITED PARTNER01/2015Schedule APDF page 52
6STEPHEN HARRIS GOLDENMANAGING MEMBERIndividualRIVA RIDGE GP LLC50% to less than 75%Code DYesMANAGING MEMBER04/2003Schedule BPDF page 52
7PETER THOMAS FINELLIMANAGING MEMBERIndividualRIVA RIDGE GP LLC25% to less than 50%Code CYesMANAGING MEMBER04/2024Schedule BPDF page 52

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/29/2026 12:38:39 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.