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Investment Adviser Firm Summary

RIVERFRONT INVESTMENT GROUP, LLC (CRD# 146221 / SEC# 801-68810)
Alternate Names: RIVERFRONT INVESTMENT GROUP, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/14/2008

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/13/2009
Alaska 01/26/2011
Arizona 08/06/2008
Arkansas 04/14/2009
California 06/30/2008
Connecticut 01/13/2009
Delaware 08/17/2009
District of Columbia 02/06/2009
Florida 08/07/2008
Georgia 11/06/2008
Hawaii 06/30/2009
Idaho 03/29/2010
Illinois 06/30/2008
Indiana 09/22/2008
Iowa 02/23/2009
Kansas 01/13/2009
Kentucky 01/13/2009
Louisiana 10/23/2008
Maine 09/21/2009
Maryland 10/23/2008
Massachusetts 04/17/2009
Michigan 08/01/2008
Minnesota 09/22/2008
Mississippi 11/10/2009
Missouri 01/13/2009
Montana 07/17/2009
Nebraska 03/05/2010
Nevada 08/20/2009
New Hampshire 01/28/2010
New Jersey 03/11/2009
New Mexico 05/06/2009
New York 08/29/2008
North Carolina 08/06/2008
North Dakota 04/17/2009
Ohio 06/30/2008
Oklahoma 11/10/2009
Oregon 02/06/2009
Pennsylvania 10/23/2008
Rhode Island 02/06/2009
South Carolina 10/23/2008
South Dakota 07/26/2011
Tennessee 08/04/2008
Texas 06/30/2008
Utah 03/30/2009
Vermont 06/30/2009
Virginia 02/14/2008
Washington 02/06/2009
West Virginia 01/26/2012
Wisconsin 06/30/2008
Wyoming 03/09/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser