# EDGAR Filing Document

**Accession Number:** 0001469751
**File Stem:** 0001469751-23-000002
**Filing Date:** 2023-2
**Character Count:** 14666
**Document Hash:** 442f3d2faf5022e300c929ac887810be
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001469751-23-000002.hdr.sgml**: 20230215

**ACCESSION NUMBER**: 0001469751-23-000002

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230215

**DATE AS OF CHANGE**: 20230215

**EFFECTIVENESS DATE**: 20230215

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RiverFront Investment Group, LLC
- **CENTRAL INDEX KEY:** 0001469751
- **IRS NUMBER:** 261599466
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-13577
- **FILM NUMBER:** 23634895

**BUSINESS ADDRESS:**
- **STREET 1:** 1214 EAST CARY STREET
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23219
- **BUSINESS PHONE:** 804-549-4800

**MAIL ADDRESS:**
- **STREET 1:** 1214 EAST CARY STREET
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23219

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** RiverFront Investment Group LLC<br>**Address:** 1214 EAST CARY STREET<br>RICHMOND, VA 23219

**Form 13F File Number:** 028-13577

**CRD Number (if applicable):** 000146221

**SEC File Number (if applicable):** 801-68810

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Julie Gibbs<br>**Title:** Chief Compliance Officer<br>**Phone:** 804-549-4808

**Signature, Place, and Date of Signing:**

Julie Gibbs  Richmond, VA  02-14-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[ ] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[x] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 102

**Form 13F Information Table Value Total:** $437992020

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

|   No. | Name                    | Form 13F File Number   | CRD Number   | SEC File Number   |
|---:|:---|:---|:---|:---|
|     1 | ALPS Advisors. Inc      | 028-12230              |  |  |
|     2 | First Trust Advisors LP | 028-06487              |  |  |

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| A T  T INC (NEW) | COM | 00206R102 |  | 1163192 | 239659 | SH |  | SOLE |  | 239164 | 0 | 495 |
| ABBOTT LABS | COM | 002824100 |  | 903791 | 8232 | SH |  | SOLE |  | 8232 | 0 | 0 |
| ABBVIE INC COM | COM | 00287Y109 |  | 1642102 | 49020 | SH |  | SOLE |  | 48918 | 0 | 102 |
| ALPHABET CLASS C | COM | 02079K107 |  | 1615405 | 92983 | SH |  | SOLE |  | 92772 | 0 | 211 |
| ALPS ETF TR RIVERFRNT DYMC | COM | 00162Q528 |  | 27797913 | 662960 | SH |  | SOLE |  | 662332 | 0 | 0 |
| ALPS ETF TR RIVERFRNT FLEX | COM | 00162Q510 |  | 8413450 | 208926 | SH |  | SOLE |  | 208708 | 0 | 0 |
| ALPS ETF TR RIVERFRNT STR INC | ETF - FIXED INCO | 00162Q783 |  | 4816117 | 212820 | SH |  | SOLE |  | 212774 | 0 | 0 |
| ALPS ETF TR RIVERFRONT DYM | COM | 00162Q536 |  | 10636933 | 480874 | SH |  | SOLE |  | 481410 | 0 | 0 |
| AMAZON COM INC COM | COM | 023135106 |  | 1257073 | 89054 | SH |  | SOLE |  | 88874 | 0 | 180 |
| AMERICAN BALANCED FD CL F-1 | MUTUAL FUNDS | 024071409 |  | 294392 | 10247 | SH |  | SOLE |  | 10247 | 0 | 0 |
| APPLE COMPUTER INC | COM | 037833100 |  | 3822609 | 189787 | SH |  | SOLE |  | 189571 | 0 | 247 |
| BERKSHIRE HATHAWAY INC DEL CL | COM | 084670702 |  | 3044210 | 9855 | SH |  | SOLE |  | 9855 | 0 | 0 |
| BOEING CO COM | COM | 097023105 |  | 380980 | 2000 | SH |  | SOLE |  | 2000 | 0 | 0 |
| CATERPILLAR INC COM | COM | 149123101 |  | 1820082 | 50161 | SH |  | SOLE |  | 50058 | 0 | 103 |
| COCA COLA CO | COM | 191216100 |  | 317668 | 4994 | SH |  | SOLE |  | 4994 | 0 | 0 |
| COMMUNICATION SERVICES SELECT | COM | 81369Y852 |  | 1241395 | 339351 | SH |  | SOLE |  | 339482 | 0 | 0 |
| DBX ETF TR XTRACK MSCI EAFE | COM | 233051630 |  | 1218917 | 55888 | SH |  | SOLE |  | 55888 | 0 | 0 |
| DISNEY WALT PRODTNS | COM | 254687106 |  | 417024 | 4800 | SH |  | SOLE |  | 4800 | 0 | 0 |
| EOG RES INC COM | COM | 26875P101 |  | 2325086 | 84448 | SH |  | SOLE |  | 84280 | 0 | 168 |
| FIRST TR EXCH TRADED FD III RI | COM | 33739P707 |  | 5186651 | 102321 | SH |  | SOLE |  | 102232 | 0 | 0 |
| FIRST TR EXCH TRADED FD III RI | COM | 33739P608 |  | 20583064 | 387193 | SH |  | SOLE |  | 386843 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD HI | COM | 33738R308 |  | 5262786 | 272260 | SH |  | SOLE |  | 272072 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD SE | COM | 33738D309 |  | 3308043 | 74188 | SH |  | SOLE |  | 74167 | 0 | 0 |
| FRANKLIN TEMPLETON ETF TR FTSE | COM | 35473P744 |  | 1522159 | 290861 | SH |  | SOLE |  | 290169 | 0 | 692 |
| GLOBAL X FDS FTSE NORDIC RE | COM | 37950E101 |  | 927280 | 200253 | SH |  | SOLE |  | 199758 | 0 | 495 |
| GLOBAL X FDS US INFR DEV ET | COM | 37954Y673 |  | 210648 | 7952 | SH |  | SOLE |  | 7827 | 0 | 125 |
| GLOBAL X S 500 COVERED CALL | COM | 37954Y475 |  | 2267633 | 57598 | SH |  | SOLE |  | 57598 | 0 | 0 |
| GOLDMAN SACHS ETF TR EQUITY ET | COM | 381430503 |  | 21597836 | 2378390 | SH |  | SOLE |  | 2376558 | 0 | 2357 |
| HARTFORD FINL SVCS GROUP INC C | COM | 416515104 |  | 1051888 | 63496 | SH |  | SOLE |  | 63348 | 0 | 148 |
| HUNTINGTON BANCSHARES INC COM | COM | 446150104 |  | 193311 | 13710 | SH |  | SOLE |  | 13710 | 0 | 0 |
| Invesco QQQ Trust | COM | 46090E103 |  | 4117400 | 73079 | SH |  | SOLE |  | 72783 | 0 | 296 |
| INVESCO EXCHANGE TRADED FD TR | COM | 46137V357 |  | 421208 | 2982 | SH |  | SOLE |  | 2982 | 0 | 0 |
| INVESCO EXCHNG TRADED FD TR II | COM | 46138G508 |  | 466914 | 22743 | SH |  | SOLE |  | 22743 | 0 | 0 |
| INVESCO EXCHNG TRADED FD TR KB | COM | 46138E628 |  | 1538467 | 157383 | SH |  | SOLE |  | 156953 | 0 | 430 |
| INVESCO NASDAQ 100 ETF | COM | 46138G649 |  | 1189715 | 10862 | SH |  | SOLE |  | 10761 | 0 | 101 |
| ISHARES CORE DIVIDEND GROWTH E | COM | 46434V621 |  | 1265410 | 397147 | SH |  | SOLE |  | 397292 | 0 | 0 |
| ISHARES GENOMICS IMMUNOLOGY AN | COM | 46435U192 |  | 1147802 | 45602 | SH |  | SOLE |  | 45532 | 0 | 0 |
| ISHARES INC CORE MSCI EMKT | COM | 46434G103 |  | 4765404 | 667391 | SH |  | SOLE |  | 665808 | 0 | 1583 |
| ISHARES INC MSCI EMRG CHN | ETF - EQUITY | 46434G764 |  | 3453443 | 284547 | SH |  | SOLE |  | 283885 | 0 | 662 |
| ISHARES INC MSCI GERMAN | COM | 464286806 |  | 2215833 | 89601 | SH |  | SOLE |  | 89392 | 0 | 0 |
| ISHARES TR 0-3 MNTH TREASRY | COM | 46436E718 |  | 315441 | 3150 | SH |  | SOLE |  | 3150 | 0 | 0 |
| ISHARES TR 0-5YR HI YL CP | COM | 46434V407 |  | 22385117 | 1687550 | SH |  | SOLE |  | 1682733 | 0 | 4751 |
| ISHARES TR 10 YR CR BD E | COM | 464289511 |  | 2657166 | 167725 | SH |  | SOLE |  | 167208 | 0 | 517 |
| ISHARES TR 20 YR TRS BD | COM | 464287432 |  | 497501 | 4997 | SH |  | SOLE |  | 4997 | 0 | 0 |
| ISHARES TR CORE MSCI EAFE | COM | 46432F842 |  | 12769114 | 2823829 | SH |  | SOLE |  | 2824307 | 0 | 513 |
| ISHARES TR CORE MSCI EURO | COM | 46434V738 |  | 212753 | 4479 | SH |  | SOLE |  | 4479 | 0 | 0 |
| ISHARES TR DJ MED DEVICES | COM | 464288810 |  | 1666034 | 207250 | SH |  | SOLE |  | 206752 | 0 | 498 |
| ISHARES TR DJ US FINL SVC | COM | 464287770 |  | 7403445 | 515569 | SH |  | SOLE |  | 515344 | 0 | 357 |
| ISHARES TR DJ US TECH SEC | COM | 464287721 |  | 8393940 | 674590 | SH |  | SOLE |  | 673394 | 0 | 1187 |
| ISHARES TR FLTG RATE NT | COM | 46429B655 |  | 606074 | 12042 | SH |  | SOLE |  | 12042 | 0 | 0 |
| ISHARES TR HIGH YLD CORP | COM | 464288513 |  | 380520 | 5168 | SH |  | SOLE |  | 5168 | 0 | 0 |
| ISHARES TR IBOXX INV CPBD | COM | 464287242 |  | 339590 | 3221 | SH |  | SOLE |  | 3221 | 0 | 0 |
| ISHARES TR LEHMAN 10-20YR | COM | 464288653 |  | 7222675 | 618568 | SH |  | SOLE |  | 618266 | 0 | 489 |
| ISHARES TR LEHMAN 1-3 YR | COM | 464288646 |  | 200000 | 4005 | SH |  | SOLE |  | 4005 | 0 | 0 |
| ISHARES TR LEHMAN AGG BND | COM | 464287226 |  | 20167897 | 263793 | SH |  | SOLE |  | 263687 | 0 | 0 |
| ISHARES TR MBS FIXED BDFD | COM | 464288588 |  | 3743158 | 593307 | SH |  | SOLE |  | 593542 | 0 | 0 |
| ISHARES TR MSCI EAFE IDX | COM | 464287465 |  | 351830 | 5360 | SH |  | SOLE |  | 5360 | 0 | 0 |
| ISHARES TR MSCI EMERG MKT | COM | 464287234 |  | 242333 | 6394 | SH |  | SOLE |  | 6394 | 0 | 0 |
| ISHARES TR MSCI GRW IDX | COM | 464288885 |  | 215933 | 2578 | SH |  | SOLE |  | 2578 | 0 | 0 |
| ISHARES TR MSCI VAL IDX | COM | 464288877 |  | 9562716 | 972539 | SH |  | SOLE |  | 970308 | 0 | 2231 |
| ISHARES TR RUSSELL1000GRW | COM | 464287614 |  | 434479 | 2028 | SH |  | SOLE |  | 2028 | 0 | 0 |
| ISHARES TR S 500 INDEX | COM | 464287200 |  | 28721287 | 618348 | SH |  | SOLE |  | 618505 | 0 | 13 |
| ISHARES TR S LTN AM 40 | COM | 464287390 |  | 476743 | 202211 | SH |  | SOLE |  | 201950 | 0 | 261 |
| ISHARES TR S NATL MUN B | COM | 464288414 |  | 770085 | 7298 | SH |  | SOLE |  | 7298 | 0 | 0 |
| ISHARES TR S SMLCAP 600 | COM | 464287804 |  | 4473464 | 218324 | SH |  | SOLE |  | 217767 | 0 | 557 |
| ISHARES TR US PFD STK IDX | COM | 464288687 |  | 1218330 | 39906 | SH |  | SOLE |  | 39881 | 0 | 0 |
| J P MORGAN EXCHANGE TRADED FD | ETF - EQUITY | 46641Q647 |  | 1317580 | 26516 | SH |  | SOLE |  | 26516 | 0 | 0 |
| J P MORGAN EXCHANGE TRADED FD | COM | 46654Q203 |  | 5526564 | 900702 | SH |  | SOLE |  | 900602 | 0 | 361 |
| J P MORGAN EXCHANGE-TRADED FD | COM | 46641Q225 |  | 2900888 | 320520 | SH |  | SOLE |  | 319734 | 0 | 786 |
| J P MORGAN EXCHANGE-TRADED FEQ | ETF - EQUITY | 46641Q332 |  | 19317826 | 814658 | SH |  | SOLE |  | 812880 | 0 | 1602 |
| JPMORGAN CHASE  CO COM | COM | 46625H100 |  | 247415 | 1845 | SH |  | SOLE |  | 1845 | 0 | 0 |
| KINDER MORGAN INC DEL COM | COM | 49456B101 |  | 1063866 | 308801 | SH |  | SOLE |  | 308145 | 0 | 656 |
| MCDONALDS CORP COM | COM | 580135101 |  | 654081 | 2482 | SH |  | SOLE |  | 2482 | 0 | 0 |
| MICROSOFT CORP COM | COM | 594918104 |  | 6640206 | 134876 | SH |  | SOLE |  | 134729 | 0 | 165 |
| PEPSICO INC COM | COM | 713448108 |  | 688495 | 3811 | SH |  | SOLE |  | 3811 | 0 | 0 |
| RIO TINTO PLC SPONSORED ADR | COM | 767204100 |  | 677833 | 60596 | SH |  | SOLE |  | 60463 | 0 | 133 |
| SELECT SECTOR SPDR TR SBI CONS | COM | 81369Y308 |  | 2258487 | 418845 | SH |  | SOLE |  | 418942 | 0 | 68 |
| SELECT SECTOR SPDR TR SBI CONS | COM | 81369Y407 |  | 2317082 | 232358 | SH |  | SOLE |  | 232434 | 0 | 11 |
| SELECT SECTOR SPDR TR SBI HEAL | COM | 81369Y209 |  | 5933043 | 517687 | SH |  | SOLE |  | 517846 | 0 | 31 |
| SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y506 |  | 5837971 | 643718 | SH |  | SOLE |  | 643480 | 0 | 415 |
| SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y605 |  | 1694439 | 49545 | SH |  | SOLE |  | 49545 | 0 | 0 |
| SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y704 |  | 1647844 | 230348 | SH |  | SOLE |  | 230433 | 0 | 0 |
| SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y803 |  | 5964557 | 603563 | SH |  | SOLE |  | 603787 | 0 | 0 |
| SELECT SECTOR SPDR TR SBI MATE | COM | 81369Y100 |  | 1141320 | 226071 | SH |  | SOLE |  | 226154 | 0 | 0 |
| SPDR SER TR CAP S/T HI YLD | COM | 78468R408 |  | 2919980 | 566220 | SH |  | SOLE |  | 564184 | 0 | 2036 |
| SPDR SERIES TRUST BARC CAPTL E | COM | 78464A474 |  | 5229649 | 2302218 | SH |  | SOLE |  | 2303112 | 0 | 0 |
| SPDR SERIES TRUST PORTFOLIO AG | COM | 78464A649 |  | 13320004 | 6935604 | SH |  | SOLE |  | 6938536 | 0 | 0 |
| SSGA ACTIVE ETF TR BLKSTN GSOS | COM | 78467V608 |  | 9170166 | 2280590 | SH |  | SOLE |  | 2281511 | 0 | 0 |
| STRYKER CORP COM | COM | 863667101 |  | 2018754 | 8257 | SH |  | SOLE |  | 8257 | 0 | 0 |
| UNITEDHEALTH GROUP INC COM | COM | 91324P102 |  | 1993873 | 17496 | SH |  | SOLE |  | 17460 | 0 | 36 |
| VANGUARD 500 INDEX FUND | MUTUAL FUNDS | 922908710 |  | 1046143 | 2954 | SH |  | SOLE |  | 2954 | 0 | 0 |
| VANGUARD BD INDEX FD INC TOTAL | COM | 921937835 |  | 17729268 | 2286998 | SH |  | SOLE |  | 2287888 | 0 | 0 |
| VANGUARD INDEX FDS STK MRK ETF | COM | 922908769 |  | 254792 | 14983 | SH |  | SOLE |  | 14983 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS INT-TE | COM | 92206C706 |  | 3792568 | 866461 | SH |  | SOLE |  | 866798 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS INT-TE | COM | 92206C870 |  | 8844126 | 1411843 | SH |  | SOLE |  | 1412398 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS LG-TER | COM | 92206C813 |  | 332821 | 4396 | SH |  | SOLE |  | 4396 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS MORTG- | COM | 92206C771 |  | 328199 | 7210 | SH |  | SOLE |  | 7210 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS SHRT-T | COM | 92206C409 |  | 9199837 | 1526493 | SH |  | SOLE |  | 1527093 | 0 | 0 |
| VANGUARD TAX-MANAGED FD EUROPE | COM | 921943858 |  | 354143 | 8438 | SH |  | SOLE |  | 8438 | 0 | 0 |
| WAL MART STORES INC | COM | 931142103 |  | 1635781 | 56137 | SH |  | SOLE |  | 56018 | 0 | 119 |
| WHIRLPOOL CORP | COM | 963320106 |  | 1414600 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| WISDOMTREE TR EUROPE HEDGED | COM | 97717X701 |  | 1328960 | 18996 | SH |  | SOLE |  | 18954 | 0 | 0 |

---