Riverfront Investment Group, Llc
- Regulatory AUM
- $2.2B
- Discretionary
- $2.2B
- Clients
- 1,534
- Avg AUM / client
- $1.4M
- Accounts
- 1,534
- Employees
- 46
AUM over time
Annual snapshots from Form ADV filings · as of Jul 17, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,185 | $1.1B | 47.5% |
| Investment companies | 6 | $338M | 15.2% |
| Pension and profit sharing plans | 7 | $7.5M | 0.34% |
| Charitable organizations | 2 | $2.6M | 0.12% |
| Corporations and other businesses | 17 | $106M | 4.76% |
| Other | 317 | $712M | 32.1% |
People (34)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Douglas Alan Sandler | Member Of The Board Of Directors/Global Strategist | CFA | Mar 2008 (18y) | Less than 5% |
| Michael John Schroeder | Member Of The Board Of Directors | Mar 2008 (18y) | Less than 5% | |
| Peter John Quinn | Member Of The Board Of Directors, President & Ceo | Mar 2008 (18y) | Less than 5% | |
| Roderick Arthur Smyth | Chairman Of The Board Of Directors/Director Of Investments | Mar 2008 (18y) | Less than 5% | |
| Christopher John Konstantinos | Chief Market Strategist, Managing Partnr, Member Of Board Of Directors | CFA | Jun 2008 (18y) | Less than 5% |
| Karrie Burnham Southall | Member Of Board Of Directors, Chief Operating Officer | Jun 2008 (18y) | Less than 5% | |
| Gibbs, Julia, Jones | Chief Compliance Officer | May 2017 (9y) | Less than 5% | |
| Booth, Steven Gregory | Member Of Board Of Directors | Mar 2020 (6y) | Less than 5% | |
| John Godfrey Taft | Member Of Board Of Directors | Mar 2020 (6y) | Less than 5% | |
| Timothy Edwin Anderson | Registered representative | CFA | Jun 2008 (18y) | |
| Wendy Lee Kerns | Registered representative | Jun 2008 (18y) | ||
| William Peter Ryder | Registered representative | CFA | Jun 2008 (18y) | |
| Kevin Lamont Nicholson | Registered representative | CFA | Jul 2010 (16y) | |
| Brian Thomas Gaertner | Registered representative | May 2012 (14y) | ||
| Adam Grossman | Registered representative | CFA | Oct 2012 (14y) | |
| Bradford Adam Wear | Registered representative | Apr 2013 (13y) | ||
| Barbour Thornton Farinholt | Registered representative | May 2013 (13y) | ||
| Bradford Duane Williams | Registered representative | May 2016 (10y) | ||
| Jacqueline Marie Carrico | Registered representative | Jul 2017 (9y) | ||
| Kaetlin Kelly Collins | Registered representative | CFA | May 2018 (8y) | |
| Hunter Drewry Gallalee | Registered representative | Jul 2018 (8y) | ||
| Robert Coleman Elliott | Registered representative | Jan 2019 (8y) | ||
| Victoria O'shea Bryant | Registered representative | Dec 2019 (7y) | ||
| Charlotte Claire Legrand Allen | Registered representative | Aug 2021 (5y) | ||
| Taylor Ann Jarrett Bryan | Registered representative | CFA | Sep 2021 (5y) | |
| Daniel William Zolet | Registered representative | CFA | Sep 2021 (5y) | |
| Diego Marti Vertiz | Registered representative | CFA | Oct 2021 (5y) | |
| David Malcolm Forrest | Registered representative | Jun 2022 (4y) | ||
| Sumanpreet Kaur Dhillon | Registered representative | Feb 2024 (2y) | ||
| Ian Shawn Nathaniel Sharps | Registered representative | Apr 2026 (0y) | ||
| Henry Samuel Walker | Registered representative | May 2026 (0y) | ||
| Jeffrey Tanner Meck | Registered representative | May 2026 (0y) | ||
| Caleb David Hutchins | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Derek Knight Deoul | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Riverfront Investment Holding Group, Llc | Member | Mar 2008 | A | 75% or more |
| Baird Financial Corporation | Managing Member | Mar 2008 | B | ≈ 18.75% – 50% via Riverfront Investment Holding Group, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Baird Financial Corporation: 25% – 50% of Riverfront Investment Holding Group, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/17/2026 | 1.37 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE SEC FOUND, WITHOUT RIVERFRONT ADMITTING OR DENYING ANY VIOLATION OR WRONGDOING, THAT RIVERFRONT DID NOT PROMPTLY UPDATE ITS FORM ADVS WHEN IT BEGAN TO SIGNIFICANTLY INCREASE ITS TRADING AWAY ACTIVITY DURING THE 2009 TO 2011 TIMEFRAME, CAUSING CERTAIN INFORMATION IN THE MARCH 31, 2010, AUGUST 31, 2010, AND MARCH 31, 2011 FORM ADVS TO BECOME MATERIALLY INACCURATE AND MISLEADING IN VIOLATION OF CERTAIN NON-FRAUD, NON-SCIENTER BASED PROVISIONS OF THE INVESTMENT ADVISERS ACT OF 1940 (SPECIFICALLY, SECTIONS 207 AND 204(A) AND RULE 204-1(A) THEREUNDER). Status: Final Sanction Detail: RIVERFRONT WAS CENSURED, ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 207 AND 204(A) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 204-1 THEREUNDER, AND PAID A CIVIL MONEY PENALTY IN THE AMOUNT OF $300,000 ON JULY 15, 2016. Summary: ON JULY 14, 2016, RIVERFRONT, WITHOUT ADMITTING OR DENYING ANY VIOLATION OR WRONGDOING, CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE CEASE-AND-DESIST PROCEEDINGS (ORDER) IN SETTLEMENT OF AN ADMINISTRATIVE PROCEEDING INSTITUTED BY THE SEC. THE ORDER CONCLUDED THE SEC'S INQUIRY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Other services
Custody
Reported custodians
- Robert W. Baird & Co. Incorporated $1.2B (53% of AUM) Jul 2026
- Raymond James $317M (14% of AUM) Jul 2026
- Wells Fargo $303M (14% of AUM) Jul 2026
- RBC $213M (27% of AUM) May 2023
- Pershing $170M (14% of AUM) Oct 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 17, 2026.
View current Form ADV (SEC/IAPD) ↗