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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

RIVERFRONT INVESTMENT GROUP, LLC

CRD 146221

RICHMOND, VA

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Search this name across graphsid dfx:ria:10fbb3c2-9196-9a41-f142-73d66f0dff44

Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 66
Dated events: 18
On other graphs: 0
Observed: Jan 26, 2012 to Jul 17, 2026
42 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.48 fund_share=0.15 institutional_share=0.0 related_bd=true related_bank=true bd_reps=26.0
Regulatory AUM: $2.2BItem 5.F on the latest filing (2026-07-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 48%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 30
RAUM per advisor: $74.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 46
Advisory employees: 12
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,534
Individual clients: 1,185
SEC number: 801-68810
CRD: 146221
Filings on the tape: 42
First filed: Jan 26, 2012
Latest filed: Jul 17, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 30

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PETER JOHN QUINN	n/a	RICHMOND, VA	18	43	1	no
RODERICK ARTHUR SMYTH	n/a	RICHMOND, VA	18	29	1	no
DOUGLAS ALAN SANDLER	Chartered Financial Analyst	Wilmington, NC \| RICHMOND, VA	18	33	1	no
TIMOTHY EDWIN ANDERSON	Chartered Financial Analyst	RICHMOND, VA \| Juno Beach, FL	18	19	1	no
WILLIAM PETER RYDER	Chartered Financial Analyst	RICHMOND, VA	18	32	1	no
WENDY LEE KERNS	n/a	RICHMOND, VA	18	25	1	no
KARRIE BURNHAM SOUTHALL	n/a	RICHMOND, VA	18	27	1	no
CHRISTOPHER JOHN KONSTANTINOS	Chartered Financial Analyst	RICHMOND, VA	18	21	1	no
KEVIN LAMONT NICHOLSON	Chartered Financial Analyst	RICHMOND, VA	16	34	1	no
BRIAN THOMAS GAERTNER	n/a	Thiensville, WI \| RICHMOND, VA	14	30	1	no
ADAM GROSSMAN	Chartered Financial Analyst	RICHMOND, VA	13	11	n/a	no
BRADFORD ADAM WEAR	n/a	Lake Oswego, OR \| RICHMOND, VA	13	27	3	no
BARBOUR THORNTON FARINHOLT	n/a	RICHMOND, VA	13	34	n/a	no
BRADFORD DUANE WILLIAMS	n/a	RICHMOND, VA	10	11	1	no
JACQUELINE MARIE CARRICO	n/a	RICHMOND, VA	9	12	1	no
KAETLIN KELLY COLLINS	Chartered Financial Analyst	RICHMOND, VA	8	12	n/a	no
HUNTER DREWRY GALLALEE	n/a	RICHMOND, VA	8	10	n/a	no
ROBERT COLEMAN ELLIOTT	n/a	RICHMOND, VA \| Baltimore, MD	7	12	n/a	no
VICTORIA O'SHEA BRYANT	n/a	RICHMOND, VA	6	13	n/a	no
CHARLOTTE CLAIRE LEGRAND ALLEN	n/a	RICHMOND, VA \| Roswell, GA	5	10	n/a	no
TAYLOR ANN JARRETT BRYAN	Chartered Financial Analyst	RICHMOND, VA	5	10	n/a	no
Daniel William Zolet	Chartered Financial Analyst	Elmhurst, IL \| RICHMOND, VA	4	10	n/a	no
Diego Marti Vertiz	Chartered Financial Analyst	RICHMOND, VA	4	12	n/a	no
DAVID MALCOLM FORREST	n/a	RICHMOND, VA	4	10	n/a	no
SUMANPREET KAUR DHILLON	n/a	RICHMOND, VA	2	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOOTH, STEVEN, GREGORY	MEMBER OF BOARD OF DIRECTORS	Na	yes	03/2020	Jul 17, 2026	Jul 17, 2026
DAVIS, TODD, MICHAEL	CHIEF TECHNOLOGY OFFICER	Na	yes	04/2022	Jul 17, 2026	Jul 17, 2026
GIBBS, JULIA, JONES	CHIEF COMPLIANCE OFFICER	Na	yes	05/2017	Jul 17, 2026	Jul 17, 2026
GROSSMAN, ADAM	GLOBAL EQUITY CHIEF INVESTMENT OFFICER, PARTNER, BOARD MEMBER BOARD MEMBER	Na	yes	06/2025	Jul 17, 2026	Jul 17, 2026
KONSTANTINOS, CHRISTOPHER,	CHIEF MARKET STRATEGIST, BOARD OF DIRECTORS	Na	yes	12/2023	Jul 17, 2026	Jul 17, 2026
QUINN, PETER, JOHN	CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT & CEO	Na	yes	03/2008	Jul 17, 2026	Jul 17, 2026
RIVERFRONT INVESTMENT	Member	E	yes	03/2008	Jul 17, 2026	Jul 17, 2026
SANDLER, DOUGLAS, ALAN	VICE CHAIRMAN	Na	yes	03/2008	Jul 17, 2026	Jul 17, 2026
SCHROEDER, MICHAEL, JOHN	MEMBER OF THE BOARD OF DIRECTORS	Na	yes	03/2008	Jul 17, 2026	Jul 17, 2026
SMYTH, RODERICK, ARTHUR	VICE CHAIRMAN	Na	yes	06/2025	Jul 17, 2026	Jul 17, 2026
SOUTHALL, KARRIE, BURNHAM	MEMBER OF BOARD OF DIRECTORS, CHIEF OPERATING OFFICER, PARTNER	Na	yes	03/2020	Jul 17, 2026	Jul 17, 2026
TAFT, JOHN, GODFREY	MEMBER OF BOARD OF DIRECTORS	Na	yes	03/2020	Jul 17, 2026	Jul 17, 2026
WEAR, BRADFORD, ADAM	NATIONAL SALES MANAGER, PARTNER	Na	yes	06/2025	Jul 17, 2026	Jul 17, 2026
BAIRD FINANCIAL CORPORATION	MANAGING MEMBER	C	yes	03/2008	Jan 26, 2012	May 6, 2024
RIVERFRONT INVESTMENT HOLDING GROUP, LLC	Member	E	yes	03/2008	Jan 26, 2012	May 6, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ROBERT W. BAIRD & CO. INCORPORATED	n/a	Mixed wealth	$394B	N	yes	Wi
GAMMA INVESTING LLC	n/a	Asset manager	$2.3B	N	yes	n/a
STRATEGAS ASSET MANAGEMENT, LLC	n/a	Asset manager	$458M	N	yes	n/a
STRATEGAS SECURITIES, LLC	n/a	No RAUM reported	$0	N	yes	n/a
BAIRD TRUST COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$2.2B	$2.2B	46	12	0	n/a	n/a
2024	Mar 27, 2025	$1.2B	$1.2B	45	9	0	n/a	n/a
2023	Mar 26, 2024	$751M	$751M	50	13	0	n/a	n/a
2022	Mar 30, 2023	$796M	$796M	52	12	0	n/a	n/a
2021	Mar 31, 2022	$1.2B	$1.2B	49	11	0	n/a	n/a
2020	Mar 29, 2021	$3.2B	$3.2B	47	14	0	n/a	n/a
2019	Mar 30, 2020	$3.2B	$3.2B	47	13	0	n/a	n/a
2018	Mar 28, 2019	$3.3B	$3.3B	50	17	0	n/a	n/a
2017	Mar 9, 2018	$3.9B	$3.9B	42	12	0	n/a	n/a
2016	Mar 29, 2017	$5.8B	$4.0B	39	12	n/a	n/a	n/a
2015	Mar 25, 2016	$5.5B	$4.0B	40	12	n/a	n/a	n/a
2014	Mar 23, 2015	$5.0B	$3.6B	39	13	n/a	n/a	n/a
2013	Feb 21, 2014	$4.3B	$3.8B	38	13	n/a	n/a	n/a
2012	Mar 28, 2013	$3.4B	$3.1B	35	11	n/a	n/a	n/a
2011	Jan 26, 2012	$3.0B	$2.8B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	3	-1	10.0%	0	0	0	2	6

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.2B	$1.2B	87.8%	$796M	40.8%	46	45	0	0

Relationships

Affiliated with (9)

← ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserother investment adviser, common control
factForm ADV
→ BAIRD STRATEGAS LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ STRATEGAS ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ GAMMA INVESTING LLCRegistered adviserother investment adviser, common control
factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserother investment adviser, broker-dealer, bank, custodian, common control
factForm ADV
← STRATEGAS ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← BAIRD STRATEGAS LLCRegistered adviserother investment adviser, common control
factForm ADV
← GAMMA INVESTING LLCRegistered adviserother investment adviser, common control
factForm ADV
← HEFREN-TILLOTSON, INC.Registered adviserother investment adviser, common control
factForm ADV

Registered with (46)

← Derek Knight DeoulAdvisorregistration: current employment
Jun 11, 2026 to presentfactForm ADV
← CALEB DAVID HUTCHINSAdvisorregistration: current employment
Jun 2, 2026 to presentfactForm ADV
← Henry Samuel WalkerAdvisorregistration: current employment
May 13, 2026 to presentfactForm ADV
← Jeffrey Tanner MeckAdvisorregistration: current employment
May 13, 2026 to presentfactForm ADV
← IAN SHAWN NATHANIEL SHARPSAdvisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← SUMANPREET KAUR DHILLONAdvisorregistration: current employment
Feb 2, 2024 to presentfactForm ADV
← DAVID MALCOLM FORRESTAdvisorregistration: current employment
Jun 3, 2022 to presentfactForm ADV
← Diego Marti VertizAdvisorregistration: current employment
Oct 26, 2021 to presentfactForm ADV
← Daniel William ZoletAdvisorregistration: current employment
Sep 22, 2021 to presentfactForm ADV
← TAYLOR ANN JARRETT BRYANAdvisorregistration: current employment
Sep 21, 2021 to presentfactForm ADV
← CHARLOTTE CLAIRE LEGRAND ALLENAdvisorregistration: current employment
Aug 17, 2021 to presentfactForm ADV
← VICTORIA O'SHEA BRYANTAdvisorregistration: current employment
Dec 11, 2019 to presentfactForm ADV
← ROBERT COLEMAN ELLIOTTAdvisorregistration: current employment
Jan 22, 2019 to presentfactForm ADV
← HUNTER DREWRY GALLALEEAdvisorregistration: current employment
Jul 24, 2018 to presentfactForm ADV
← KAETLIN KELLY COLLINSAdvisorregistration: current employment
May 29, 2018 to presentfactForm ADV
← JACQUELINE MARIE CARRICOAdvisorregistration: current employment
Jul 5, 2017 to presentfactForm ADV
← BRADFORD DUANE WILLIAMSAdvisorregistration: current employment
May 3, 2016 to presentfactForm ADV
← BARBOUR THORNTON FARINHOLTAdvisorregistration: current employment
May 6, 2013 to presentfactForm ADV
← BRADFORD ADAM WEARAdvisorregistration: current employment
Apr 5, 2013 to presentfactForm ADV
← ADAM GROSSMANAdvisorregistration: current employment
Oct 26, 2012 to presentfactForm ADV
← BRIAN THOMAS GAERTNERAdvisorregistration: current employment
May 3, 2012 to presentfactForm ADV
← KEVIN LAMONT NICHOLSONAdvisorregistration: current employment
Jul 9, 2010 to presentfactForm ADV
← TIMOTHY EDWIN ANDERSONAdvisorregistration: current employment
Jun 10, 2008 to presentfactForm ADV
← WILLIAM PETER RYDERAdvisorregistration: current employment
Jun 10, 2008 to presentfactForm ADV
← WENDY LEE KERNSAdvisorregistration: current employment
Jun 10, 2008 to presentfactForm ADV
← KARRIE BURNHAM SOUTHALLAdvisorregistration: current employment
Jun 10, 2008 to presentfactForm ADV
← CHRISTOPHER JOHN KONSTANTINOSAdvisorregistration: current employment
Jun 10, 2008 to presentfactForm ADV
← PETER JOHN QUINNAdvisorregistration: current employment
Mar 31, 2008 to presentfactForm ADV
← RODERICK ARTHUR SMYTHAdvisorregistration: current employment
Mar 31, 2008 to presentfactForm ADV
← DOUGLAS ALAN SANDLERAdvisorregistration: current employment
Mar 31, 2008 to presentfactForm ADV
and 16 more

Controls (11)

← TAFT, JOHN, GODFREYOwnerMEMBER OF BOARD OF DIRECTORS, ownership code NA, individual
Mar 30, 2020 to May 6, 2024factForm ADV
← QUINN, PETER, JOHNOwnerMEMBER OF THE BOARD OF DIRECTORS, PRESIDENT & CEO, ownership code NA, individual
Jan 26, 2012 to May 6, 2024factForm ADV
← SMYTH, RODERICK, ARTHUROwnerCHAIRMAN OF THE BOARD OF DIRECTORS/DIRECTOR OF INVESTMENTS, ownership code NA, individual
Jan 26, 2012 to May 6, 2024factForm ADV
← SCHROEDER, MICHAEL, JOHNOwnerMEMBER OF THE BOARD OF DIRECTORS, ownership code NA, individual
Jan 26, 2012 to May 6, 2024factForm ADV
← BOOTH, STEVEN, GREGORYOwnerMEMBER OF BOARD OF DIRECTORS, ownership code NA, individual
Mar 30, 2020 to May 6, 2024factForm ADV
← SANDLER, DOUGLAS, ALANOwnerMEMBER OF THE BOARD OF DIRECTORS/GLOBAL STRATEGIST, ownership code NA, individual
Jan 26, 2012 to May 6, 2024factForm ADV
← SOUTHALL, KARRIE, BURNHAMOwnerMEMBER OF BOARD OF DIRECTORS, CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2013 to May 6, 2024factForm ADV
← KONSTANTINOS, CHRISTOPHER, JOHNOwnerCHIEF MARKET STRATEGIST, MANAGING PARTNR, MEMBER OF BOARD OF DIRECTORS, ownership code NA, individual
Mar 26, 2024 to May 6, 2024factForm ADV
← GIBBS, JULIA, JONESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 5, 2017 to May 6, 2024factForm ADV
← BAIRD FINANCIAL CORPORATIONOwnerMANAGING MEMBER, ownership code C, domestic entity
Jan 26, 2012 to May 6, 2024factForm ADV
← RIVERFRONT INVESTMENT HOLDING GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Jan 26, 2012 to May 6, 2024factForm ADV

Dated events

Occurred
May 12, 2026
Advisor changed firm
George Tyler Michael left Riverfront Investment Group, Llc for Janney Montgomery Scott Llc (registered 2026-05-18)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2026
Regulatory AUM changed
Riverfront Investment Group, Llc reported RAUM $2.2B, up 88% from $1.2B (2025-07-16 to 2026-03-30)
Form ADVobserved 6 days ago
$1.0B
Occurred
Dec 31, 2025
Advisor changed firm
Griffin Wright Phillips left Riverfront Investment Group, Llc for Blackrock Investment Management, Llc (registered 2026-01-07)
Form ADVobserved 6 days ago
Occurred
Dec 16, 2025
Advisor changed firm
Jackson Tavenner left Riverfront Investment Group, Llc for Morgan Stanley (registered 2026-01-13)
Form ADVobserved 6 days ago
Occurred
Aug 1, 2025
Advisor changed firm
Sierra Meredith Jones left Riverfront Investment Group, Llc for Robert W. Baird & Co. Incorporated (registered 2025-09-24)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2025
Regulatory AUM changed
Riverfront Investment Group, Llc reported RAUM $1.2B, up 58% from $751.1M (2024-05-06 to 2025-03-27)
Form ADVobserved 6 days ago
$432M
Occurred
Mar 26, 2024
Control person joined
John Christopher Konstantinos (Chief Market Strategist, Managing Partnr, Member Of Board Of Directors) appeared on Schedule A of Riverfront Investment Group, Llc
Form ADVobserved 6 days ago
Occurred
Dec 1, 2023
Advisor changed firm
William Scott Hays left Riverfront Investment Group, Llc for Symphony One Capital Management, Llc (registered 2024-03-15)
Form ADVobserved 6 days ago
Occurred
Nov 30, 2023
Advisor changed firm
Liana Jean Oneil left Riverfront Investment Group, Llc for Advice And Planning Services (registered 2023-11-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed
Riverfront Investment Group, Llc reported RAUM $795.6M, down 35% from $1.2B (2022-10-18 to 2023-03-30)
Form ADVobserved 6 days ago
$-430M
Occurred
Jan 5, 2023
Advisor changed firm
Tyler Finney left Riverfront Investment Group, Llc for Wells Fargo Advisors (registered 2023-02-02)
Form ADVobserved 6 days ago
Occurred
Aug 2, 2022
Advisor changed firm
Brian Eric Glavin left Riverfront Investment Group, Llc for Janney Montgomery Scott Llc (registered 2022-10-18)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Riverfront Investment Group, Llc reported RAUM $1.2B, down 61% from $3.2B (2021-09-17 to 2022-03-31)
Form ADVobserved 6 days ago
$-1.9B
Occurred
Mar 30, 2020
Control person joined
Godfrey John Taft (Member Of Board Of Directors) appeared on Schedule A of Riverfront Investment Group, Llc
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
Control person joined
Gregory Steven Booth (Member Of Board Of Directors) appeared on Schedule A of Riverfront Investment Group, Llc
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
Control person left
Michael Paul Jones (Member Of The Board Of Directors) no longer on Schedule A of Riverfront Investment Group, Llc (listed 2019-09-10, absent 2020-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
Control person left
Edward Paul Purcell (Member Of The Board Of Directors) no longer on Schedule A of Riverfront Investment Group, Llc (listed 2019-09-10, absent 2020-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 9, 2018
Regulatory AUM changed
Riverfront Investment Group, Llc reported RAUM $3.9B, down 33% from $5.8B (2017-06-05 to 2018-03-09)
Form ADVobserved 6 days ago
$-1.9B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10fbb3c2-9196-9a41-f142-73d66f0dff44
First observed: Jan 26, 2012
Last observed: Jul 17, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RIVERFRONT INVESTMENT GROUP, LLC

CRD 146221

RICHMOND, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:10fbb3c2-9196-9a41-f142-73d66f0dff44

Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:57 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PETER JOHN QUINN

n/a

RICHMOND, VA

RODERICK ARTHUR SMYTH

n/a

RICHMOND, VA

DOUGLAS ALAN SANDLER

Chartered Financial Analyst

Wilmington, NC | RICHMOND, VA

TIMOTHY EDWIN ANDERSON

Chartered Financial Analyst

RICHMOND, VA | Juno Beach, FL

WILLIAM PETER RYDER

Chartered Financial Analyst

RICHMOND, VA

WENDY LEE KERNS

n/a

RICHMOND, VA

KARRIE BURNHAM SOUTHALL

n/a

RICHMOND, VA

CHRISTOPHER JOHN KONSTANTINOS

Chartered Financial Analyst

RICHMOND, VA

KEVIN LAMONT NICHOLSON

Chartered Financial Analyst

RICHMOND, VA

BRIAN THOMAS GAERTNER

n/a

Thiensville, WI | RICHMOND, VA

ADAM GROSSMAN

Chartered Financial Analyst

RICHMOND, VA

n/a

BRADFORD ADAM WEAR

n/a

Lake Oswego, OR | RICHMOND, VA

BARBOUR THORNTON FARINHOLT

n/a

RICHMOND, VA

n/a

BRADFORD DUANE WILLIAMS

n/a

RICHMOND, VA

JACQUELINE MARIE CARRICO

n/a

RICHMOND, VA

KAETLIN KELLY COLLINS

Chartered Financial Analyst

RICHMOND, VA

n/a

HUNTER DREWRY GALLALEE

n/a

RICHMOND, VA

n/a

ROBERT COLEMAN ELLIOTT

n/a

RICHMOND, VA | Baltimore, MD

n/a

VICTORIA O'SHEA BRYANT

n/a

RICHMOND, VA

n/a

CHARLOTTE CLAIRE LEGRAND ALLEN

n/a

RICHMOND, VA | Roswell, GA

n/a

TAYLOR ANN JARRETT BRYAN

Chartered Financial Analyst

RICHMOND, VA

n/a

Daniel William Zolet

Chartered Financial Analyst

Elmhurst, IL | RICHMOND, VA

n/a

Diego Marti Vertiz

Chartered Financial Analyst

RICHMOND, VA

n/a

DAVID MALCOLM FORREST

n/a

RICHMOND, VA

n/a

SUMANPREET KAUR DHILLON

n/a

RICHMOND, VA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOOTH, STEVEN, GREGORY

MEMBER OF BOARD OF DIRECTORS

yes

03/2020

Jul 17, 2026

DAVIS, TODD, MICHAEL

CHIEF TECHNOLOGY OFFICER

yes

04/2022

Jul 17, 2026

GIBBS, JULIA, JONES

CHIEF COMPLIANCE OFFICER

yes

05/2017

Jul 17, 2026

GROSSMAN, ADAM

GLOBAL EQUITY CHIEF INVESTMENT OFFICER, PARTNER, BOARD MEMBER BOARD MEMBER

yes

06/2025

Jul 17, 2026

KONSTANTINOS, CHRISTOPHER,

CHIEF MARKET STRATEGIST, BOARD OF DIRECTORS

yes

12/2023

Jul 17, 2026

QUINN, PETER, JOHN

CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT & CEO

yes

03/2008

Jul 17, 2026

RIVERFRONT INVESTMENT

Member

yes

03/2008

Jul 17, 2026

SANDLER, DOUGLAS, ALAN

VICE CHAIRMAN

yes

03/2008

Jul 17, 2026

SCHROEDER, MICHAEL, JOHN

MEMBER OF THE BOARD OF DIRECTORS

yes

03/2008

Jul 17, 2026

SMYTH, RODERICK, ARTHUR

VICE CHAIRMAN

yes

06/2025

Jul 17, 2026

SOUTHALL, KARRIE, BURNHAM

MEMBER OF BOARD OF DIRECTORS, CHIEF OPERATING OFFICER, PARTNER

yes

03/2020

Jul 17, 2026

TAFT, JOHN, GODFREY

MEMBER OF BOARD OF DIRECTORS

yes

03/2020

Jul 17, 2026

WEAR, BRADFORD, ADAM

NATIONAL SALES MANAGER, PARTNER

yes

06/2025

Jul 17, 2026

BAIRD FINANCIAL CORPORATION

MANAGING MEMBER

yes

03/2008

Jan 26, 2012

May 6, 2024

RIVERFRONT INVESTMENT HOLDING GROUP, LLC

Member

yes

03/2008

Jan 26, 2012

May 6, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROBERT W. BAIRD & CO. INCORPORATED

n/a

Mixed wealth

$394B

yes

GAMMA INVESTING LLC

n/a

Asset manager

$2.3B

yes

n/a

STRATEGAS ASSET MANAGEMENT, LLC

n/a

Asset manager

$458M

yes

n/a

STRATEGAS SECURITIES, LLC

n/a

No RAUM reported

yes

n/a

BAIRD TRUST COMPANY, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$2.2B

n/a

2024

Mar 27, 2025

$1.2B

n/a

2023

Mar 26, 2024

$751M

n/a

2022

Mar 30, 2023

$796M

n/a

2021

Mar 31, 2022

$1.2B

n/a

2020

Mar 29, 2021

$3.2B

n/a

2019

Mar 30, 2020

$3.2B

n/a

2018

Mar 28, 2019

$3.3B

n/a

2017

Mar 9, 2018

$3.9B

n/a

2016

Mar 29, 2017

$5.8B

$4.0B

n/a

2015

Mar 25, 2016

$5.5B

$4.0B

n/a

2014

Mar 23, 2015

$5.0B

$3.6B

n/a

2013

Feb 21, 2014

$4.3B

$3.8B

n/a

2012

Mar 28, 2013

$3.4B

$3.1B

n/a

2011

Jan 26, 2012

$3.0B

$2.8B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

10.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.2B

$1.2B

87.8%

$796M

40.8%