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Rfg Advisory, LLC CRD 158401
$7.97B regulatory AUM 12 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2021-05-19 |
| TX | RA | APPROVED_RES | 2021-05-19 |
Branch Locations
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America,Na | Cincinnati | OH | 12/2009 | 01/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 06/2005 | 01/2017 |
| Morgan Stanley | Cincinnati | OH | 01/2017 | 05/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 03/2017 | 05/2021 |
| Rfg Advisory, Llc | Loveland | OH | 05/2021 | Present |
| Private Client Services | Loveland | OH | 06/2021 | 12/2025 |
1) Crump Insurance. 4135 North Front Street, Harrisburg, PA 17110. Insurance Agent/Variable. Insurance Agent. 80 hrs/mo; 80 during trading hrs. 2) RFG Advisory. 1400 Urban Center Drive, Suite 475, Vestavia Hills, AL 35242. RIA. 160 hrs/mo; 160 during trading hrs. 3) River Oak Asset Advisory. 10490 Brentmoor Drive, Loveland, OH 45140. DBA. Owner/Financial Advisor/Insurance Agent. 80 hrs/mo; 80 during trading hrs.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-07-22 |
| S65 | Uniform Investment Adviser Law Examination | 1995-06-09 |
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