RIVERFRONT INVESTMENT GROUP, LLC of RICHMOND, VA is an SEC-registered investment adviser (CRD 146221). Regulatory assets under management: $2.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Other.
Showing 25 of 26 people.
| Name | Role | Location |
|---|---|---|
| Adam Grossman | GLOBAL EQUITY CHIEF INVESTMENT OFFICER, PARTNER, BOARD MEMBER | Petaluma, CA |
| Steven Gregory Booth | MEMBER OF BOARD OF DIRECTORS | — |
| Peter John Quinn | CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT & CEO; MEMBER OF THE BOARD OF DIRECTORS, PRESIDENT & CEO | — |
| Roderick Arthur Smyth | CHAIRMAN OF THE BOARD OF DIRECTORS/DIRECTOR OF INVESTMENTS; VICE CHAIRMAN | — |
| Michael John Schroeder | MEMBER OF THE BOARD OF DIRECTORS | — |
| Karrie Burnham Southall | MEMBER OF BOARD OF DIRECTORS, CHIEF OPERATING OFFICER; MEMBER OF BOARD OF DIRECTORS, CHIEF OPERATING OFFICER, PARTNER | — |
| Julia Jones Gibbs | CHIEF COMPLIANCE OFFICER | — |
| John Godfrey Taft | MEMBER OF BOARD OF DIRECTORS | — |
| Christopher John Konstantinos | CHIEF MARKET STRATEGIST, MANAGING PARTNER, MEMBER OF BOARD OF DIRECTORS; CHIEF MARKET STRATEGIST, MANAGING PARTNR, MEMBER OF BOARD OF DIRECTORS | — |
| Kevin Lamont Nicholson | GLOBAL FIXED INCOME CIO, PARTNER, BOARD MEMBER | — |
| Bradford Adam Wear | NATIONAL SALES MANAGER, PARTNER | — |
| Todd Michael Davis | CHIEF TECHNOLOGY OFFICER | — |
| Douglas Alan Sandler | MEMBER OF THE BOARD OF DIRECTORS/GLOBAL STRATEGIST; VICE CHAIRMAN | — |
| TAFT JOHN GODFREY | MEMBER OF BOARD OF DIRECTORS | — |
| PURCELL PAUL EDWARD | MANAGER; MEMBER OF THE BOARD OF DIRECTORS; MEMBER OF THE BOARD OF MANAGERS | — |
| SCHROEDER MICHAEL JOHN | MANAGER; MEMBER OF THE BOARD OF DIRECTORS; MEMBER OF THE BOARD OF MANAGERS | — |
| BOOTH STEVEN GREGORY | MEMBER OF BOARD OF DIRECTORS | — |
| JONES TODD MICHAEL | CHAIRMAN OF THE BOARD OF DIRECTORS/CHIEF INVESTMENT OFFICER; CHAIRMAN OF THE BOARD OF DIRECTORS/PRESIDENT AND CEO OF RIVERSHARES; CHAIRMAN OF THE BOARD OF MANAGERS/CHIEF INVESTMENT OFFICER (+2 more) | — |
| MOELCHERT LOUIS WILLIAM | MANAGER; MEMBER OF THE BOARD OF DIRECTORS; MEMBER OF THE BOARD OF MANAGERS | — |
| QUINN KEVIN JOHN | MANAGER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER; MEMBER OF THE BOARD OF DIRECTORS, PRESIDENT (+4 more) | — |
| SANDLER DOUGLAS ALAN | MANAGER; MEMBER OF THE BOARD OF DIRECTORS/CHIEF EQUITY OFFICER; MEMBER OF THE BOARD OF DIRECTORS/CHIEF U.S. EQUITY OFFICER (+2 more) | — |
| SMYTH RODERICK ARTHUR | CHAIRMAN OF THE BOARD OF DIRECTORS/DIRECTOR OF INVESTMENTS; MANAGER; MEMBER OF THE BOARD OF DIRECTORS/CHIEF INVESTMENT STRATEGIST (+2 more) | — |
| SMAILES WENDY LEE | CHIEF COMPLIANCE OFFICER | — |
| SOUTHALL KARRIE BURNHAM | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER/MEMBER OF THE EXECUTIVE COMMITTEE; CHIEF COMPLIANCE OFFICER/MEMBER OF THE EXECUTIVE COMMITTEE (+3 more) | — |
| GIBBS JULIA JONES | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-07-14 | regulatory | 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,… | Final | $300K |