Asset manager · Richmond, VA
Riverfront Investment Group, LLC
SEC-registered investment adviser · CRD 146221 · SEC 801-68810
At a glance
Riverfront Investment Group, LLC is an SEC-registered investment adviser based in Richmond, Virginia, with $2.2 billion in regulatory assets under management as of its Form ADV filed September 30, 2026. Its largest client group by assets is individuals, and it reports 1,185 individual clients. By Form ADV it is a asset manager, ranked 1,010th of 3,218 asset managers and 3,422nd of 17,210 SEC-registered advisers by assets.
Main office 804-549-4800riverfrontig.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.2B
- Rank among asset managers
- #1,010 of 3,218
- Rank among all SEC RIAs
- #3,422 of 17,210
- Rank in Virginia
- #42 of 300
- Individual clients
- 1,185
- High-net-worth clients
- 0
- Accounts
- 1,534
- Discretionary
- 100% of AUM
- Employees
- 46
- Advisory staff
- 12
- Offices
- 1
Owners and executives on its Form ADV
- Peter J. QuinnChairman of the Board of Directors, President & CEO
- Roderick A. SmythVice Chairman
- Michael John SchroederMember of the Board of Directors
- Karrie B. SouthallMember of Board of Directors, Chief Operating Officer, Partner
- Julia J. GibbsChief Compliance Officer
- John G. TaftMember of Board of Directors
- Steven Gregory BoothMember of Board of Directors
- Christopher J. KonstantinosChief Market Strategist, Managing Partner, Member of Board of Directors
- Adam GrossmanGlobal Equity Chief Investment Officer, Partner, Board Member
- Kevin L. NicholsonGlobal Fixed Income CIO, Partner, Board Member
- Bradford A. WearNational Sales Manager, Partner
- Todd M. DavisChief Technology Officer
Custody and brokerage
3 custodians
- Robert W. Baird & Co. IncorporatedAffiliate of the firm$1.2B65%
- Raymond James$317M18%
- Wells Fargo$303M17%
Other RIAs using Robert W. Baird & Co. IncorporatedOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
Riverfront Investment Group, LLC is a hybrid RIA: 26 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Baird Strategas LLC and Robert W. Baird & Co. Incorporated.
- Baird Strategas LLC ↗CRD 149326
- Robert W. Baird & Co. Incorporated ↗CRD 8158
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 1,185 | $1.1B | 48% |
| Other | 317 | $712M | 32% |
| Investment companies | 6 | $338M | 15% |
| Corporations or other businesses | 17 | $106M | 5% |
| Pension and profit sharing plans | 7 | $8M | <1% |
| Charitable organizations | 2 | $3M | <1% |
Disciplinary disclosures
Riverfront Investment Group, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗riverfrontig.com ↗
AtlasMembers
The full record on Riverfront Investment Group, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 897 peers of its type and size
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- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Riverfront Investment Group, LLC manage?
Riverfront Investment Group, LLC reports $2.2 billion in regulatory assets under management across 1,534 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 30, 2026.
What kind of firm is Riverfront Investment Group, LLC?
Riverfront Investment Group, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Riverfront Investment Group, LLC’s clients?
By assets, its largest client types are individuals ($1.1 billion, 1,185 clients); other ($712 million, 317 clients); investment companies ($338 million, 6 clients).
Does Riverfront Investment Group, LLC have any disciplinary history?
Riverfront Investment Group, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Riverfront Investment Group, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →