RIVERFRONT INVESTMENT GROUP, LLC

CRD

146221

SEC file #

801-68810

EIN

800844225

DBA names

—

Economics

AUM

$2.22B

AUM band

$1B+

AUM trajectory

'20 · $3.28B

'21 · $3.19B

'22 · $3.15B

'23 · $1.23B

'25 · $1.18B

'26 · $2.22B

'20'26

$3.28B → $2.22B▼ -32%

sec adv history

Client mix

Individuals Other	1,185
Other	317
Corporations	17
Pension Profit Sharing Plans	7
Investment Companies	6

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 17 advisors

'21 · 13 advisors

'22 · 14 advisors

'23 · 11 advisors

'25 · 9 advisors

'26 · 12 advisors

'20'26

17 advisors → 12 advisors▼ -29%

sec adv history

Primary office

RICHMOND VA

Branches

—

Custodian & Brokerage

Primary custodian

Raymond Jameslow confidence

adv brochure

Services offered

Portfolio mgmt — individualsPortfolio mgmt — investment companiesOther Advisory Services

Fee basis

% of AUM

Filings

Latest ADV filing

03/30/2026

linkedin.com/company/riverfront-investment-group(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

RIVERFRONT INVESTMENT

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

RIVERFRONT INVESTMENT

BOOTH, STEVEN, GREGORY

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

social_url_excluded:linkedin.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001648711

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2015-08-14

Edgar Last Filing Date

2026-05-14

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-14

Accession0001648711-26-000004

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Raymond James	7
Wells Fargo	4
E*trade	4
Pershing	2
Morgan Stanley	2

adv brochure

Edgar Addresses

Mailing

777 E. WISCONSIN AVENUEMILWAUKEE, WI 53202

Business

777 E. WISCONSIN AVENUEMILWAUKEE, WI 53202

Edgar EIN

800844225

Edgar Recent Filings

13F-HR2026-05-14 · 0001648711-26-000004

13F-HR2026-02-13 · 0001648711-26-000002

Firm Has Custody

Yes

Mailing Office Differs

Trust Company Affiliate

Yes

People (33)

WEAR, BRADFORD, ADAM

3048262

GROSSMAN, ADAM

6114820

QUINN, PETER, JOHN

1217067

SMYTH, RODERICK, ARTHUR

KONSTANTINOS, CHRISTOPHER,

1236843

SOUTHALL, KARRIE, BURNHAM

4589412

3082873

SANDLER, DOUGLAS, ALAN

2254668

NICHOLSON, KEVIN, LAMONT

2218915

BOOTH, STEVEN GREGORY

2147388

DAVIS, TODD, MICHAEL

8124370

GIBBS, JULIA, JONES

4605599

SCHROEDER, MICHAEL, JOHN

1483012

JOHN GODFREY TAFT

VICTORIA O'SHEA BRYANT

7154894

BRIAN THOMAS GAERTNER

BARBOUR THORNTON FARINHOLT

2729181

1979135

KAETLIN KELLY COLLINS

ROBERT COLEMAN ELLIOTT

7025198

HUNTER DREWRY GALLALEE

6930232

SUMANPREET KAUR DHILLON

7812943

DAVID MALCOLM FORREST

7435469

TAYLOR ANN JARRETT BRYAN

IAN SHAWN NATHANIEL SHARPS

7025216

CHARLOTTE CLAIRE LEGRAND ALLEN

7924047

7412173

TIMOTHY EDWIN ANDERSON

1533533

BRADFORD DUANE WILLIAMS