Adam J. Peck

RIVERWATER PARTNERS LLC

Milwaukee, WI 53202

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CRD#: 3217981

Professional summary

Adam Jonathan Peck, who also goes by Adam J Rodd, is a registered financial advisor currently at RIVERWATER PARTNERS LLC located in Milwaukee, Wisconsin.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Adam has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam J Rodd

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ARBEL GROWTH PARTNERS, INVESMTENT-RELATED, MILWAUKEE, WI, VENTURE CAPITAL IN THE FOOD SPACE, GP, JANUARY 2018, 1 HOUR PER MONTH, 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS, FUND IS IN WIND DOWN. ONLY DUTY IS ANNUAL UDPATE AND TAX FILING. 636 CORP, MILWAUKEE, WI, NOT INVESTMENT-RELATED, THERMOSTATS, DIRECTOR, DECEMBER 2024, 1 HOUR PER MONTH, 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS, ATTEND BOARD MEETINGS. CORAL GABLES TRUST, CORAL GABLES, FL, YES, TRUST CO., DIRECTOR, JUNE 2016, 1 HOUR PER MONTH, 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS, ATTEND BOARD MEETINGS AND INVESTMENT COMMITTEE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Jonathan Peck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 27, 2016 - Present

RIVERWATER PARTNERS LLC

Office #1: 1433 N. Water Street Suite 303, Milwaukee, WI 53202

RIA

CRD#: 283540

Milwaukee, WI

Past

September 10, 2007 - January 29, 2016

HEARTLAND ADVISORS, INC.

RIA

CRD#: 29433

MILWAUKEE, WI

Past

August 1, 2007 - February 11, 2016

ALPS DISTRIBUTORS, INC.

CRD#: 16853

MILWAUKEE, WI

Past

January 31, 2007 - July 31, 2007

HEARTLAND INVESTOR SERVICES, LLC

CRD#: 29693

MILWAUKEE, WI

Past

June 29, 2000 - August 28, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RIVERWATER PARTNERS LLC

RIVERWATER BLUE | RIVERWATER PARTNERS, LLC | RIVERWATER PARTNERS LLC

CRD#: 283540 / SEC#: 801-117635

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (11/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/14/2019)

IAR

Wisconsin
(4/27/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/4/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2007

General Securities Representative Examination

Current Firm

RIVERWATER PARTNERS LLC

RIVERWATER BLUE | RIVERWATER PARTNERS, LLC | RIVERWATER PARTNERS LLC

CRD#: 283540 / SEC#: 801-117635

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (11/25/2019 Terminated)

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Contact information

Main Address

1433 N. Water Street Suite 303, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 858-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVERWATER PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	190
AUM (Assets Under Management)	$ 600,209,973

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/11/2024	Cover Page	Report
06/02/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Adam J. Peck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Jonathan Peck's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEARTLAND ADVISORS, INC.

ALPS DISTRIBUTORS, INC.

HEARTLAND INVESTOR SERVICES, LLC

CIBC WORLD MARKETS CORP.

Primary Firm SEC Registration

RIVERWATER PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2007

Series 63

Date: 2/20/2007

SIE

Date: 2/11/2016

Series 7

Date: 1/30/2007

Current Firm

RIVERWATER PARTNERS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RIVERWATER PARTNERS LLC

TRUST BUT VERIFY

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