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1214 East Cary Street, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2010-07-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Riverfront Investment Group, Llc | Richmond | VA | 07/2016 | 04/2020 |
| Alps Distributors, Inc. | Richmond | VA | 08/2010 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 04/2020 | 05/2021 |
| Riverfront Investment Group, Llc | Richmond | VA | 05/2021 | 01/2022 |
| Riverfront Investment Group, Llc | Richmond | VA | 01/2022 | Present |
1. Virginia Foundation of Public Media; Investment-Related; 23 Sesame Street Richmond, VA 23235; Board Member of Investment Committee; 07/01/2022; 1 HR/MON; 1 HR/MON During Trading Hours; Serves on the Committee to Help Monitor Foundation Investments. 2. Richmond Retirement Systems; Investment-Related; 730 E Broad Street Suite 900 Richmond, VA 23219; Public Pension; Investment Advisory Committee Member; 10/27/2020; 1 HR/MON; 1 HR/MON During Trading Hours. 3. Northern Neck Insurance Company; Investment-Related; 4981 Irvington Road Irvington, VA 22480; Multi-Line Insurance Company; Director of Company Board & Chair of Investment Committee; 04/14/2023; 4 HRS/MON; 4 HRS/MON During Trading Hours; Work with Board; Serve on Boards for Northern Neck and its Affiliates-Fredrick Mutual Insurance Company, Fredrick Mutual Group, and Fredrick Mutual Holdings. 4. Virginia Museum of Fine Arts Foundation Board; Investment-Related; 200 N. Boulevard, Richmond, VA 23220; Art Museum; Member of the Board of Directors; 1/1/2025; 2 HRS/MON; 2 HRS/MON During Trading Hours; Help Review Investment Portfolio.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-22 |
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