RS
Roderick A. Smyth
RIVERFRONT INVESTMENT GROUP
RICHMOND, VA 23219
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CRD#: 1236843
RS
Professional summary
Roderick Arthur Smyth is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Richmond, Virginia and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.
Roderick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roderick has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.RiverFront Investment Group, LLC.; Investment-Related; 1214 E Cary St Richmond, VA 23219; RIA; Vice Chairman; 06/01/2008; 160 HRS/MON; 130 HRS/MON During Trading Hours. 2. ALPS Distributors, Inc,; Investment-Related; 1290 Broadway Suite 1000 Denver, CO 80203; Broker-Dealer; 03/29/2010; Registered Representative Marketing/Sales for the RiverFront Funds; Distributed by ALPS; 160 HRS/MON; 130 HRS/MON During Trading Hours. 3. Virginia Retirement Systems Advisory Committee; Investment-Related; P.O. Box 2500 Richmond, VA 23218; Managing the Pension Fund Assets of Virgina 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. 4. 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. 5. 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. 6. 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. 7. 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.
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2008 - Present
RIVERFRONT INVESTMENT GROUP, LLC
Office #1: 1214 E. Cary St., Richmond, VA 23219RIA
CRD#: 146221
RICHMOND, VA
Current
March 29, 2010 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1214 E. Cary Street, Richmond, VA 23219BD
CRD#: 16853
Richmond, VA
Past
December 31, 2001 - April 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RICHMOND, VA
Past
October 1, 1999 - April 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RICHMOND, VA
Past
November 26, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
RIVERFRONT INVESTMENT GROUP, LLC
RIVERFRONT INVESTMENT GROUP, LLC
CRD#: 146221 / SEC#: 801-68810
RIA
Registered Investment Advisory firm - (2/14/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Virginia(3/31/2008)
RR
Virginia(12/8/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RIVERFRONT INVESTMENT GROUP, LLC
RIVERFRONT INVESTMENT GROUP, LLC
CRD#: 146221 / SEC#: 801-68810
RIA
Registered Investment Advisory firm - (2/14/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1214 East Cary Street, Richmond, VA 23219
Mailing Address
Phone number
(804) 549-4800
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 977 |
| AUM (Assets Under Management) | $ 1,183,036,522 |
Red Flags
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Company Information
RIVERFRONT INVESTMENT GROUP, LLC
CRD#: 146221Richmond, VA 23219TRUST BUT VERIFY
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Contact information
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