{
  "crd_number": 146221,
  "slug": "riverfront-investment-group-llc-richmond-va-146221",
  "primary_business_name": "RIVERFRONT INVESTMENT GROUP, LLC",
  "legal_name": "RIVERFRONT INVESTMENT GROUP, LLC",
  "dbas": [],
  "city": "Richmond",
  "state": "VA",
  "country": "United States",
  "cbsa_code": "40060",
  "metro": {
    "cbsa_code": "40060",
    "common_name": "Richmond",
    "msa_name": "Richmond, VA",
    "path": "/advisors/va/richmond"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2008-02-14",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-09-30",
  "carried_forward": false,
  "raum_total": 2221276035.0,
  "raum_discretionary": 2221276035.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 46,
  "advisory_employees": 12,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 712234959.0,
      "count": 317,
      "description": "FOUNDATIONS, TRUST ACCOUNTS"
    },
    "charitable": {
      "raum": 2563201.0,
      "count": 2,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 1055198697.0,
      "count": 1185
    },
    "investment_companies": {
      "raum": 338045939.0,
      "count": 6
    },
    "pension_profit_sharing": {
      "raum": 7525162.0,
      "count": 7
    },
    "corporations_other_businesses": {
      "raum": 105708077.0,
      "count": 17
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 4,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://linkedin.com/COMPANY/RIVERFRONT-INVESTMENT-GROUP",
    "https://riverfrontig.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/146221",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "RICHMOND",
  "url": "https://advisorcensus.com/firm/riverfront-investment-group-llc-richmond-va-146221",
  "display_name": "Riverfront Investment Group, LLC",
  "summary": "Riverfront Investment Group, LLC is an SEC-registered investment advisory firm in Richmond, VA, registered since 2008, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated September 30, 2026.",
  "citation": "AdvisorCensus. Riverfront Investment Group, LLC (CRD 146221): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Riverfront Investment Group, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Riverfront Investment Group, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Riverfront Investment Group, LLC located?",
      "a": "Riverfront Investment Group, LLC's principal office is in Richmond, VA, according to its Form ADV."
    },
    {
      "q": "Is Riverfront Investment Group, LLC registered with the SEC or a state?",
      "a": "Riverfront Investment Group, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 146221."
    },
    {
      "q": "How much does Riverfront Investment Group, LLC manage?",
      "a": "Riverfront Investment Group, LLC reports $2,221,276,035 in regulatory assets under management in its Form ADV filing dated September 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Riverfront Investment Group, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Riverfront Investment Group, LLC: Regulatory assets under management: $3,152,073,792 in the October 2021 data and $2,221,276,035 in the October 2026 data, down 30%. Total employees: 47 in October 2021 and 46 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Riverfront Investment Group, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,185); other (317); corporations or other businesses not listed above (17)."
    },
    {
      "q": "Which custodians does Riverfront Investment Group, LLC use?",
      "a": "Riverfront Investment Group, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists First Clearing, Raymond James Financial Services, Inc. and Robert W. Baird & Co. Incorporated (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Riverfront Investment Group, LLC report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/146221"
    },
    {
      "q": "What changed in Riverfront Investment Group, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 9 to 12. Regulatory assets under management went from $1,183,036,522 to $2,221,276,035 (+88%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 3152073792.0,
      "total_employees": 47,
      "filing_date": "2021-09-17"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1225957348.0,
      "total_employees": 49,
      "filing_date": "2022-06-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 795595142.0,
      "total_employees": 52,
      "filing_date": "2023-05-11"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 751084541.0,
      "total_employees": 50,
      "filing_date": "2024-05-06"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1183036522.0,
      "total_employees": 45,
      "filing_date": "2025-07-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2221276035.0,
      "total_employees": 46,
      "filing_date": "2026-09-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 9 to 12.",
        "Regulatory assets under management went from $1,183,036,522 to $2,221,276,035 (+88%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "First Clearing",
      "name_as_filed": "FIRST CLEARING",
      "affiliated": false
    },
    {
      "name": "Raymond James Financial Services, Inc.",
      "name_as_filed": "RAYMOND JAMES FINANCIAL SERVICES, INC.",
      "affiliated": false
    },
    {
      "name": "Robert W. Baird & Co. Incorporated",
      "name_as_filed": "ROBERT W. BAIRD & CO. INCORPORATED",
      "affiliated": true
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/riverfront-investment-group-llc-richmond-va-146221.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1185,
      "fewer_than_5": false,
      "raum": 1055198697.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 6,
      "fewer_than_5": false,
      "raum": 338045939.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 7,
      "fewer_than_5": false,
      "raum": 7525162.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": true,
      "raum": 2563201.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 17,
      "fewer_than_5": false,
      "raum": 105708077.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 317,
      "fewer_than_5": false,
      "raum": 712234959.0
    }
  ],
  "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/146221",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}