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1214 East Cary Street, Richmond, VA 23219 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2008-03-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Riverfront Investment Group, Llc | Richmond | VA | 03/2007 | 01/2018 |
| Alps Distributors, Inc. | Denver | CO | 03/2010 | 05/2026 |
| Riverfront Investment Group, Llc | Richmond | VA | 01/2018 | 05/2021 |
| Riverfront Investment Group, Llc | Richmond | VA | 05/2021 | 07/2025 |
| Riverfront Investment Group, Llc | Richmond | VA | 07/2025 | Present |
1. Virginia Retirement Systems Advisory Committee; Investment-Related; P.O. Box 2500 Richmond, VA 23218; Managing the Pension Fund Assets of Virginia State Retirement System; Advisory Board Member; 04/01/2010; 2 HRS/MON; 2 HRS/MON During Trading Hours; Attend Meetings and Offer Opinions on Investment Matters. 2. Custodian Holdings, LL; Not Investment-Related; Address on File; LLC; Ownership of a 50 Acre Parcel of Land; Owner; 10/27/2017; 1 HR/MON; 2 HRS/MON During Trading Hours. 3. 1804 Grove, LLC; Not Investment-Related; Address on File; Home Rental; Owner of Property; 10/27/2017; 2 HRS/MON; 2 HRS/MON During Trading Hours. 4. 2007 Rosewood Ave, LLC; Not Investment-Related; Address on File; Rental Property; Joint Owner with Wife; 11/01/2018; 2 HRS/MON; 2 HRS/MON During Trading Hours. 5. Goochland Cares; Not Investment-Related; 2999 River Road West Goochland, VA 23063; Charity/ Food Bank; Finance Committee Member; 10/09/2025; 2 HRS/MON; 2 HRS/MON During Trading hours; Attend Monthly Meetings.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-12-24 |
| S65 | Uniform Investment Adviser Law Examination | 1996-12-24 |
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