Brian H. Schmucker

RIVERNORTH CAPITAL MANAGEMENT

CHICAGO, IL 60654

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CRD#: 4581937

Professional summary

Brian Harold Schmucker is a registered financial advisor currently at RIVERNORTH CAPITAL MANAGEMENT, LLC located in Chicago, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brian has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

RIVERNORTH CAPITAL MANAGEMENT, LLC;INVESTMENT RELATED;325 N. LASALLE ST., SUITE 645, CHICAGO, IL 60654;REGISTERED INVESTMENT ADVISOR;PRESIDENT;8/2000;160 HRS/MONTH;6.5 HRS DURING TRADING;OVERSEE RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Harold Schmucker's 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

January 26, 2001 - Present

RIVERNORTH CAPITAL MANAGEMENT, LLC

Office #1: 325 N Lasalle Suite 645, Chicago, IL 60654

RIA

CRD#: 122020

CHICAGO, IL

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".

RIVERNORTH CAPITAL MANAGEMENT, LLC

PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.

CRD#: 122020 / SEC#: 801-61533

RIA

Registered Investment Advisory firm - (10/15/2002 Approved)

Illinois

Registered Investment Advisory firm - (10/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (10/2/2003 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

Illinois
(1/26/2001)

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: 11/20/2000

Uniform Investment Adviser Law Examination

Current Firm

RIVERNORTH CAPITAL MANAGEMENT, LLC

PINNACLE FUND MANAGEMENT, INC. | RIVERNORTH CAPITAL MANAGEMENT, LLC | RIVERNORTH CAPITAL MANAGEMENT, INC.

CRD#: 122020 / SEC#: 801-61533

RIA

Registered Investment Advisory firm - (10/15/2002 Approved)

Illinois

Registered Investment Advisory firm - (10/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (10/2/2003 Terminated)

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Contact information

Main Address

360 S. Rosemary Ave Suite 1420, West Palm Beach, FL 33401

Mailing Address

Phone number

(561) 484-7185

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

RIVERNORTH FORM ADV PART 2B (3/26/2025)

RIVERNORTH FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 6,181,636,447

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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Brian H. Schmucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Harold Schmucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVERNORTH CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

RIVERNORTH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/2000

Current Firm

RIVERNORTH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERNORTH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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