Hedge Fund Database

RIVERFRONT INVESTMENT GROUP, LLC

Adviser information for RIVERFRONT INVESTMENT GROUP, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 50
Investment Advisory/Research 13
Registered Broker-Dealer Representatives 30
Registered State Investment Advisers 33
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 485 $751.1M
Non-Discretionary 0 $0
Total 485 $751.1M

Clients

Type Number RAUM
Individuals 342 $172.7M
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 7 $387.0M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 6 $1.9M
Charitable organizations <5 $934,324
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 11 $12.9M
Other 118 $175.7M
Type Number
No. of Non-RAUM Clients 10
No. of Non-U.S. Clients 1

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPROVIDE INVESTMENT MODELS TO UMA AND MODEL DELIVERY PLATFORMS
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 364.1M
Both for Same 0
Portfolio Manager to Program Sponsor
CONSULTING SOLUTIONS RBC CAPITAL MARKETS, LLC
PERSHING MANAGED ACCOUNT UTILITY PROGRAM BNY MELLON ADVISORS, INC.
PERSHING MANAGED ACCOUNT COMMAND PROGRAM (MAC) BNY MELLON ADVISORS, INC.
RIVERFRONT/BAIRD ROBERT W. BAIRD & CO. INCORPORATED
CONSULTING & EVALUATION SERVICES CES MORGAN STANLEY
INVESTMENT MANAGEMENT SERVICES (IMS) MORGAN STANLEY
MANAGED ACCOUNT PROGRAM (MAP) RBC CAPITAL MARKETS, LLC
PRIVATE ADVISOR NETWORK WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES CONSULTING SERVICES RAYMOND JAMES FINANCIAL SERVICES, INC.
CLASSIC PROGRAM JANNEY MONTGOMERY SCOTT LLC

Identifiers

SEC RIA File Number 801-68810
SEC ERA File Number 801-68810
SEC CIK Numbers 1469751
SEC CRD Numbers 146221
Legal Entity Identifier None

Principal Office

1214 EAST CARY STREET
RICHMOND
VA
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 804-549-4800, Fax: None

Websites

twitter.com/riverfrontig www.linkedin.com/company/riverfront-investment-group/ www.riverfrontig.com

Chief Compliance Officer

JULIE GIBBS
CHIEF COMPLIANCE OFFICER
1214 EAST CARY STREET
RICHMOND
VA
United States
Tel: 804-549-4808
Fax: 804-549-4819
(Full email address available in API data)

Regulatory Contact

KARRIE SOUTHALL
CHIEF OPERATING OFFICER
1214 EAST CARY STREET
RICHMOND
VA
United States
Tel: 804-549-4813
Fax: 804-549-4819
(Full email address available in API data)

Industry Affiliates

BAIRD TRUST COMPANY, LLC Trust company
GAMMA INVESTING LLC Other investment adviser, including financial planners
ROBERT W. BAIRD & CO. INCORPORATED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorCommodity pool operator or commodity trading advisor
STRATEGAS ASSET MANAGEMENT, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
QUINN, PETER, JOHN Individual – MEMBER OF THE BOARD OF DIRECTORS, PRESIDENT & CEO 03/2008 < 5%
SANDLER, DOUGLAS, ALAN Individual – MEMBER OF THE BOARD OF DIRECTORS/GLOBAL STRATEGIST 03/2008 < 5%
SMYTH, RODERICK, ARTHUR Individual – CHAIRMAN OF THE BOARD OF DIRECTORS/DIRECTOR OF INVESTMENTS 04/2019 < 5%
SCHROEDER, MICHAEL, JOHN Individual – MEMBER OF THE BOARD OF DIRECTORS 03/2008 < 5%
RIVERFRONT INVESTMENT HOLDING GROUP, LLC Domestic Entity – MEMBER 03/2008 > 75%
BAIRD FINANCIAL CORPORATION Domestic Entity RIVERFRONT INVESTMENT HOLDING GROUP, LLC MANAGING MEMBER 03/2008 25-50%
SOUTHALL, KARRIE, BURNHAM Individual – MEMBER OF BOARD OF DIRECTORS, CHIEF OPERATING OFFICER 03/2020 < 5%
GIBBS, JULIA, JONES Individual – CHIEF COMPLIANCE OFFICER 05/2017 < 5%
TAFT, JOHN, GODFREY Individual – MEMBER OF BOARD OF DIRECTORS 03/2020 < 5%
BOOTH, STEVEN, GREGORY Individual – MEMBER OF BOARD OF DIRECTORS 03/2020 < 5%
KONSTANTINOS, CHRISTOPHER, JOHN Individual – CHIEF MARKET STRATEGIST, MANAGING PARTNR, MEMBER OF BOARD OF DIRECTORS 12/2023 < 5%

No. Employees, Historic

60300201920202021202220232024202550 on 9/10/201947 on 3/30/202047 on 6/2/202047 on 8/25/202047 on 10/26/202047 on 10/28/202047 on 1/8/202147 on 3/29/202147 on 9/17/202149 on 3/31/202249 on 6/30/202249 on 10/18/202252 on 3/30/202352 on 5/11/202350 on 3/26/2024

RAUM, Historic

4B2B020192020202120222023202420253275493960 on 9/10/20193189911941 on 3/30/20203189911941 on 6/2/20203189911941 on 8/25/20203189911941 on 10/26/20203189911941 on 10/28/20203189911941 on 1/8/20213152073792 on 3/29/20213152073792 on 9/17/20211225957348 on 3/31/20221225957348 on 6/30/20221225957348 on 10/18/2022795595142 on 3/30/2023795595142 on 5/11/2023751084541 on 3/26/2024

No. Clients, Historic

6,0003,000020192020202120222023202420255597 on 9/10/20195116 on 3/30/20205116 on 6/2/20205116 on 8/25/20205116 on 10/26/20205116 on 10/28/20205116 on 1/8/20215275 on 3/29/20215275 on 9/17/20211062 on 3/31/20221062 on 6/30/20221062 on 10/18/2022677 on 3/30/2023677 on 5/11/2023485 on 3/26/2024

Holdings

From latest 13F, filed August 28th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COMMON 978K 9K –
ABBVIE INC COM COMMON 351K 2K –
ALPHABET CLASS A COMMON 887K 5K –
ALPHABET INC CAP STK COMMON 39M 215K –
ALPS ETF TR RIVERFRNT COMMON 28M 539K –
ALPS ETF TR RIVERFRNT COMMON 6M 118K –
ALPS ETF TR RIVERFRNT ETF - F 5M 205K –
ALPS ETF TR RIVERFRON COMMON 9M 413K –
AMAZON COM INC COM COMMON 31M 158K –
AMCAP FD CL F 3 MUTUAL 228K 5K –
AMERICAN BALANCED FD MUTUAL 418K 12K –
AMERICAN MUT FD CL F MUTUAL 1M 19K –
APPLE INC COM COMMON 58M 276K –
BAIRD FDS INC AGGR BD MUTUAL 130K 13K –
BAIRD FDS INC CORE MU MUTUAL 382K 37K –
BAIRD FDS INC SHRT TR MUTUAL 118K 13K –
BANK OF AMERICA CORPO COMMON 621K 16K –
BERKSHIRE HATHAWAY IN COMMON 4M 10K –
BOEING CO COM COMMON 419K 2K –
BONDBLOXX ETF TRUST C COMMON 756K 20K –
BOSTON SCIENTIFIC COR COMMON 222K 3K –
BROADCOM INC COM COMMON 278K 2K –
CAPITAL WORLD GROWTH MUTUAL 258K 4K –
CATERPILLAR INC COM COMMON 760K 2K –
CHEVRON CORP NEW COM COMMON 11M 69K –
COCA COLA CO COMMON 6M 91K –
COMMUNICATION SERVICE COMMON 41M 477K –
DBX ETF TR XTRACK MSC COMMON 4M 164K –
DISNEY WALT PRODTNS COMMON 574K 6K –
DOMINION RES INC VA N COMMON 330K 7K –
EDISON INTL COM COMMON 415K 6K –
EOG RES INC COM COMMON 15M 121K –
EURO PAC GROWTH FD CL MUTUAL 471K 8K –
EXXON MOBIL CORP COM COMMON 13M 112K –
FACEBOOK INC CL A COMMON 232K 461 –
FEDERATED HERMES SUS MUTUAL 219K 33K –
FEDERATED TOTAL RETUR MUTUAL 151K 16K –
FIDELITY ADVISOR SER MUTUAL 288K 9K –
FIDELITY SECS FD ADV MUTUAL 139K 12K –
FIRST TR EXCH TRADED COMMON 6M 85K –
FIRST TR EXCH TRADED COMMON 20M 313K –
FIRST TR EXCHANGE TRA COMMON 223K 3K –
FRANKLIN TEMPLETON ET COMMON 14M 486K –
GLOBAL X FDS NASDAQ 1 ETF - E 833K 47K –
GLOBAL X S&P 500 COVE COMMON 5M 121K –
GLOBAL X X FDS RUSSEL COMMON 663K 41K –
GOLDMAN SACHS ETF TR COMMON 165M 2M –
GROWTH FD AMER CL F 3 MUTUAL 1M 18K –
HARTFORD FDS EXCHANGE ETF - E 1M 32K –
HARTFORD FINL SVCS GR COMMON 22M 216K –
HUNTINGTON BANCSHARES COMMON 181K 14K –
HUTCHISON PORT HLDGS COMMON 59K 23K –
INTERNATIONAL GROWTH MUTUAL 251K 7K –
INVESCO EXCH TRADED F COMMON 16M 137K –
INVESCO EXCH TRD SLF COMMON 13M 739K –
INVESCO FTSE RAFI US COMMON 358K 9K –
INVESCO NASDAQ 100 ET COMMON 4M 22K –
INVESCO QQQ TR UNIT S COMMON 64M 134K –
ISHARES INC CORE MSCI COMMON 22M 407K –
ISHARES INC MSCI CDA COMMON 320K 9K –
ISHARES INC MSCI EMRG ETF - E 36M 616K –
ISHARES TR 0-5YR HI Y COMMON 9M 211K –
ISHARES TR 10 YR INV COMMON 79M 2M –
ISHARES TR 20 YR TRS COMMON 507K 6K –
ISHARES TR 7-10 YR TR COMMON 3M 29K –
ISHARES TR CALIF MUN COMMON 457K 8K –
ISHARES TR CORE MSCI COMMON 190M 3M –
ISHARES TR EAFE VALUE COMMON 56M 1M –
ISHARES TR ISHS 1-5YR COMMON 20M 381K –
ISHARES TR JPMORGAN U COMMON 301K 3K –
ISHARES TR LEHMAN 10- COMMON 55M 537K –
ISHARES TR LEHMAN AGG COMMON 516K 5K –
ISHARES TR LEHMAN INT COMMON 877K 17K –
ISHARES TR MSCI ACWI COMMON 518K 10K –
ISHARES TR MSCI EAFE COMMON 307K 4K –
ISHARES TR MSCI EURO COMMON 10M 456K –
ISHARES TR RUSSELL 20 COMMON 238K 1K –
ISHARES TR RUSSELL MI COMMON 426K 5K –
ISHARES TR RUSSELL100 COMMON 791K 2K –
ISHARES TR S&P 500 IN COMMON 342M 624K –
ISHARES TR S&P MIDCAP COMMON 755K 13K –
ISHARES TR S&P500 GRW COMMON 1M 13K –
ISHARES TR TR U.S. ME COMMON 16M 291K –
ISHARES TR U.S. FIN S COMMON 94M 1M –
ISHARES TR U.S. TECH COMMON 109M 726K –
J P MORGAN EXCHANGE T COMMON 19M 484K –
J P MORGAN EXCHANGE T ETF - E 170M 3M –
J P MORGAN EXCHANGE T ETF - E 3M 62K –
J P MORGAN EXCHANGE T COMMON 124M 2M –
J P MORGAN EXCHANGE-T COMMON 30M 469K –
JP MORGAN EXCHANGE TR COMMON 16M 308K –
JPMORGAN CHASE & CO. COMMON 25M 125K –
JPMORGAN TR I EQTY IN MUTUAL 375K 16K –
JPMORGAN TR I STRATEG MUTUAL 229K 20K –
JPMORGAN TR I US VLU MUTUAL 205K 3K –
KINDER MORGAN INC DEL COMMON 627K 32K –
LATTICE STRATEGIES TR COMMON 34M 646K –
LEIDOS HLDGS INC COM COMMON 584K 4K –
LENNOX INTL INC COM COMMON 2M 4K –
LILLY ELI & CO COM COMMON 256K 283 –
LOWES COS INC COM COMMON 420K 2K –
MAINSTAY FDS TR MACKA MUTUAL 385K 41K –
MCDONALDS CORP COM COMMON 691K 3K –
MCKESSON CORP COM COMMON 264K 452 –
MERCK & CO. INC COM COMMON 1M 11K –
MFS SER TR II EMERG G MUTUAL 680K 3K –
MFS SER TR X INTL DIV MUTUAL 494K 21K –
MICROSOFT CORP COM COMMON 68M 152K –
MONEY MKT OBLIGS TR F MUTUAL 416K 416K –
MSA SAFETY INC COM COMMON 498K 3K –
NEW WORLD DEV LTD SPO COMMON 15K 32K –
NEW WORLD FD INC NEW MUTUAL 1M 14K –
NVIDIA CORPORATION CO COMMON 70M 563K –
PEPSICO INC COM COMMON 575K 3K –
PIMCO ETF TR 25YR ZE COMMON 13M 175K –
PRIMECAP ODYSSEY FDS MUTUAL 486K 12K –
PRINCIPAL FDS INC EQT MUTUAL 491K 12K –
PROCTER AND GAMBLE CO COMMON 4M 26K –
PROLOGIS INC. COM COMMON 21M 190K –
PROXIMUS S A UNSPONSO COMMON 30K 19K –
ROWE T PRICE INDEX TR MUTUAL 338K 2K –
ROWE T PRICE INTL FDS MUTUAL 138K 11K –
RUSSELL INVT CO TAX M MUTUAL 203K 5K –
RUSSELL INVT CO TAX M MUTUAL 213K 18K –
RUSSELL INVT CO TAX M MUTUAL 2M 19K –
RUSSELL INVT CO TAX M MUTUAL 127K 11K –
SCHWAB STRATEGIC TR 5 COMMON 174M 4M –
SELECT SECTOR SPDR TR COMMON 66M 725K –
SELECT SECTOR SPDR TR COMMON 16M 204K –
SELECT SECTOR SPDR TR COMMON 42M 228K –
SELECT SECTOR SPDR TR COMMON 72M 494K –
SELECT SECTOR SPDR TR COMMON 27M 222K –
SELECT SECTOR SPDR TR COMMON 131M 580K –
SELECT SECTOR SPDR TR COMMON 260K 4K –
SELECT SECTOR SPDR TR COMMON 19M 219K –
SPDR SERIES TRUST POR COMMON 181M 7M –
SPDR SERIES TRUST POR COMMON 1M 40K –
SPDR SERIES TRUST POR COMMON 502K 22K –
SPDR SERIES TRUST POR COMMON 75M 1M –
SPDR TR UNIT SER 1 COMMON 678K 1K –
SSGA ACTIVE ETF TR BL COMMON 249K 6K –
STRYKER CORP COM COMMON 3M 8K –
T ROWE PRICE ETF INC COMMON 301K 10K –
TRUIST FINL CORP COM COMMON 237K 6K –
UNITEDHEALTH GROUP IN COMMON 13M 25K –
VANECK ETF TRUST MRNG COMMON 39M 1M –
VANECK ETF TRUST SEMI COMMON 20M 78K –
VANECK VECTORS FALLEN COMMON 17M 592K –
VANGUARD 500 INDEX FU MUTUAL 2M 3K –
VANGUARD BD INDEX FD COMMON 162M 2M –
VANGUARD CHESTER FDS MUTUAL 421K 8K –
VANGUARD FENWAY FDS P MUTUAL 381K 11K –
VANGUARD INDEX FDS GR COMMON 368K 985 –
VANGUARD INDEX FDS S& COMMON 672K 1K –
VANGUARD INDEX FDS TO MUTUAL 476K 4K –
VANGUARD INDEX FDS VA COMMON 1M 7K –
VANGUARD MUN BD FDS T COMMON 1M 29K –
VANGUARD SCOTTSDALE F COMMON 29M 498K –
VANGUARD SCOTTSDALE F COMMON 112M 1M –
VANGUARD SCOTTSDALE F COMMON 17M 222K –
VANGUARD SCOTTSDALE F COMMON 1M 17K –
VANGUARD SCOTTSDALE F COMMON 128M 2M –
VANGUARD SPECIALIZED ETF - E 886K 5K –
VANGUARD TAX-MANAGED COMMON 3M 66K –
VANGUARD WORLD FD EXT COMMON 63M 865K –
VISA INC COM CL A COMMON 6M 24K –
WALMART INC COM COMMON 35M 516K –
WASHINGTON MUT INVS F MUTUAL 206K 3K –
WELLS FARGO & CO NEW COMMON 7M 117K –
WESTLAKE CHEM CORP CO COMMON 1M 8K –
WHIRLPOOL CORP COMMON 1M 10K –
WISDOMTREE TR EUROPE COMMON 1M 30K –