Filed: 11/10/2022ACC: 0001469751-22-000011
📋 What this filing means
RIVERFRONT INVESTMENT GROUP, LLC filed this quarterly 13F‑HR report disclosing 89 equity positions with a total reported market value of $2.67M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
89
Positions
$2.67M
Total AUM (reported)
44.92M
Total Shares
Allocation by class
COM$2.60M97.4%
ETF - EQUITY$64.2K2.4%
ETF - FIXED INCO$4.7K0.2%
MUTUAL FUNDS$1.4K0.1%
Portfolio Concentration
Top 3$619.9K23.2%
4–10$763.9K28.6%
11–25$794.4K29.8%
Rest$489.7K18.4%
Top 3 weight
23.2%
Top 10 weight
51.9%
Voting Authority Distribution
Total shares with voting rights: 44.92M
Sole
Full voting authority
44.68M
shares
% of voting shares99.5%
Shared
Joint voting authority
216.42K
shares
% of voting shares0.5%
None
No voting authority
30.50K
shares
% of voting shares0.1%
Investment Discretion (by position count)
Sole63
Shared0
Other26
Dominant voting typeSole · 99.5% of voting shares
Institutional Holdings89
Rows:
ISHARES TR S&P 500 INDEX
SOLEShares623.44K
TypeSH
Market value$239.8K
8.99%
Sole
623.38K
Shared
0.00
None
61.00
GOLDMAN SACHS ETF TR EQUITY ET
DFNDShares2.57M
TypeSH
Market value$195.2K
7.32%
Sole
2.54M
Shared
24.92K
None
2.67K
SPDR SERIES TRUST PORTFOLIO AG
SOLEShares7.51M
TypeSH
Market value$184.9K
6.93%
Sole
7.51M
Shared
0.00
None
589.00
VANGUARD BD INDEX FD INC TOTAL
SOLEShares2.35M
TypeSH
Market value$165.6K
6.21%
Sole
2.35M
Shared
0.00
None
179.00
VANGUARD SCOTTSDALE FDS SHRT-T
DFNDShares1.59M
TypeSH
Market value$118.0K
4.42%
Sole
1.59M
Shared
3.80K
None
120.00
VANGUARD SCOTTSDALE FDS INT-TE
SOLEShares1.47M
TypeSH
Market value$110.7K
4.15%
Sole
1.47M
Shared
0.00
None
112.00
SSGA ACTIVE ETF TR BLKSTN GSOS
SOLEShares2.46M
TypeSH
Market value$101.4K
3.80%
Sole
2.46M
Shared
0.00
None
183.00
ISHARES TR HDG MSCI EAFE
SOLEShares3.06M
TypeSH
Market value$96.3K
3.61%
Sole
3.06M
Shared
0.00
None
1.46K
ISHARES TR DJ US FINL SVC
DFNDShares558.53K
TypeSH
Market value$87.3K
3.27%
Sole
553.66K
Shared
4.45K
None
418.00
ISHARES TR 0-5YR HI YL CP
DFNDShares2.09M
TypeSH
Market value$84.6K
3.17%
Sole
2.02M
Shared
64.36K
None
5.45K
SELECT SECTOR SPDR TR SBI INT-
SOLEShares611.06K
TypeSH
Market value$77.7K
2.91%
Sole
611.01K
Shared
0.00
None
46.00
ISHARES TR LEHMAN 10-20YR
DFNDShares702.49K
TypeSH
Market value$73.9K
2.77%
Sole
695.58K
Shared
6.31K
None
598.00
SELECT SECTOR SPDR TR SBI HEAL
SOLEShares523.78K
TypeSH
Market value$69.0K
2.59%
Sole
523.71K
Shared
0.00
None
69.00
SPDR SERIES TRUST BARC CAPTL E
SOLEShares2.35M
TypeSH
Market value$68.3K
2.56%
Sole
2.35M
Shared
0.00
None
178.00
ISHARES TR DJ US TECH SEC
DFNDShares845.59K
TypeSH
Market value$64.0K
2.40%
Sole
841.23K
Shared
3.01K
None
1.35K
SELECT SECTOR SPDR TR SBI INT-
DFNDShares681.17K
TypeSH
Market value$59.5K
2.23%
Sole
676.25K
Shared
4.42K
None
494.00
ISHARES TR MBS FIXED BDFD
SOLEShares624.58K
TypeSH
Market value$56.5K
2.12%
Sole
624.54K
Shared
0.00
None
47.00
VANGUARD SCOTTSDALE FDS INT-TE
SOLEShares908.26K
TypeSH
Market value$52.5K
1.97%
Sole
908.19K
Shared
0.00
None
68.00
Invesco QQQ Trust
DFNDShares185.43K
TypeSH
Market value$50.8K
1.90%
Sole
179.93K
Shared
4.98K
None
517.00
J P MORGAN EXCHANGE-TRADED FEQ
DFNDShares918.40K
TypeSH
Market value$48.6K
1.82%
Sole
899.09K
Shared
17.50K
None
1.81K
J P MORGAN EXCHANGE TRADED FD
SOLEShares957.03K
TypeSH
Market value$41.1K
1.54%
Sole
956.48K
Shared
0.00
None
557.00
SELECT SECTOR SPDR TR SBI CONS
SOLEShares240.96K
TypeSH
Market value$34.7K
1.30%
Sole
240.93K
Shared
0.00
None
28.00
ISHARES INC CORE MSCI EMKT
DFNDShares799.20K
TypeSH
Market value$34.0K
1.27%
Sole
779.62K
Shared
17.83K
None
1.76K
ALPS ETF TR RIVERFRNT DYMC
SOLEShares836.51K
TypeSH
Market value$32.6K
1.22%
Sole
836.51K
Shared
0.00
None
0.00
MICROSOFT CORP COM
DFNDShares134.65K
TypeSH
Market value$31.3K
1.17%
Sole
133.49K
Shared
1.03K
None
136.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
ISHARES TR S&P 500 INDEXSOLE | COM | 623.44K | SH | $239.8K 8.99% | 623.38K | 0.00 | 61.00 |
GOLDMAN SACHS ETF TR EQUITY ETDFND | COM | 2.57M | SH | $195.2K 7.32% | 2.54M | 24.92K | 2.67K |
SPDR SERIES TRUST PORTFOLIO AGSOLE | COM | 7.51M | SH | $184.9K 6.93% | 7.51M | 0.00 | 589.00 |
VANGUARD BD INDEX FD INC TOTALSOLE | COM | 2.35M | SH | $165.6K 6.21% | 2.35M | 0.00 | 179.00 |
VANGUARD SCOTTSDALE FDS SHRT-TDFND | COM | 1.59M | SH | $118.0K 4.42% | 1.59M | 3.80K | 120.00 |
VANGUARD SCOTTSDALE FDS INT-TESOLE | COM | 1.47M | SH | $110.7K 4.15% | 1.47M | 0.00 | 112.00 |
SSGA ACTIVE ETF TR BLKSTN GSOSSOLE | COM | 2.46M | SH | $101.4K 3.80% | 2.46M | 0.00 | 183.00 |
ISHARES TR HDG MSCI EAFESOLE | COM | 3.06M | SH | $96.3K 3.61% | 3.06M | 0.00 | 1.46K |
ISHARES TR DJ US FINL SVCDFND | COM | 558.53K | SH | $87.3K 3.27% | 553.66K | 4.45K | 418.00 |
ISHARES TR 0-5YR HI YL CPDFND | COM | 2.09M | SH | $84.6K 3.17% | 2.02M | 64.36K | 5.45K |
SELECT SECTOR SPDR TR SBI INT-SOLE | COM | 611.06K | SH | $77.7K 2.91% | 611.01K | 0.00 | 46.00 |
ISHARES TR LEHMAN 10-20YRDFND | COM | 702.49K | SH | $73.9K 2.77% | 695.58K | 6.31K | 598.00 |
SELECT SECTOR SPDR TR SBI HEALSOLE | COM | 523.78K | SH | $69.0K 2.59% | 523.71K | 0.00 | 69.00 |
SPDR SERIES TRUST BARC CAPTL ESOLE | COM | 2.35M | SH | $68.3K 2.56% | 2.35M | 0.00 | 178.00 |
ISHARES TR DJ US TECH SECDFND | COM | 845.59K | SH | $64.0K 2.40% | 841.23K | 3.01K | 1.35K |
SELECT SECTOR SPDR TR SBI INT-DFND | COM | 681.17K | SH | $59.5K 2.23% | 676.25K | 4.42K | 494.00 |
ISHARES TR MBS FIXED BDFDSOLE | COM | 624.58K | SH | $56.5K 2.12% | 624.54K | 0.00 | 47.00 |
VANGUARD SCOTTSDALE FDS INT-TESOLE | COM | 908.26K | SH | $52.5K 1.97% | 908.19K | 0.00 | 68.00 |
Invesco QQQ TrustDFND | COM | 185.43K | SH | $50.8K 1.90% | 179.93K | 4.98K | 517.00 |
J P MORGAN EXCHANGE-TRADED FEQDFND | ETF - EQUITY | 918.40K | SH | $48.6K 1.82% | 899.09K | 17.50K | 1.81K |
J P MORGAN EXCHANGE TRADED FDSOLE | COM | 957.03K | SH | $41.1K 1.54% | 956.48K | 0.00 | 557.00 |
SELECT SECTOR SPDR TR SBI CONSSOLE | COM | 240.96K | SH | $34.7K 1.30% | 240.93K | 0.00 | 28.00 |
ISHARES INC CORE MSCI EMKTDFND | COM | 799.20K | SH | $34.0K 1.27% | 779.62K | 17.83K | 1.76K |
ALPS ETF TR RIVERFRNT DYMCSOLE | COM | 836.51K | SH | $32.6K 1.22% | 836.51K | 0.00 | 0.00 |
MICROSOFT CORP COMDFND | COM | 134.65K | SH | $31.3K 1.17% | 133.49K | 1.03K | 136.00 |
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