Frequently Asked Questions



What services does Riverfront Asset Management provide?

We provide portfolio management and investment advisory services for individuals, trusts, businesses, and institutional clients.

We also offer many financial planning services. After we take the time to learn each client's needs we advise and guide them as to which services would be best for them and their families.

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What are Riverfront Asset Management's Fees?

We provide a comprehensive fee schedule on our web page for all fees that are related to your account. We have no hidden fees or charges and are an Independent Financial Services Firm. At Riverfront we believe the best model for investing is fee based management because this best aligns your advisor with the your needs.

We receive no compensation or referral fees from any of our network professionals.

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I've never heard of Riverfront Asset Management, why should I trust them?

Riverfront Asset Managments advisors have more than 10 years of investment and insurance experience. We are completely independent and have no conflicts of interest. We have no Investment Banking or Merger and Acquisition relationships or represent any company, mutual funds, or brokerage firms. We serve only our clients.

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Does Riverfront Asset Management have an account minimum?

We have a $100,000 account minimum but we allow our advisors to use their discretion if accounts below the minimum.

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Does Riverfront Asset Managment take custody of my assets?

We do not take custody of any assets.

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Where are my investments and money held if I open an account with Riverfront Asset Management?

The custodian for Riverfront Asset Management is Scottrade. Scottrade provides quarterly statements to each client or monthly if there is activity in their account. Every client can access and view there account through Scottrade's retail customer platform at any time. Scottrade provides an excellent low cost structure that we felt suited the best interests of our clients.

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Can Riverfront Asset Management guarantee my account will not lose value?

Riverfront Asset Managment is an asset management firm that uses investments that fluctuate with the market and the economy. All investments contain some degree of risk. Investing is inherently risky and we work very hard at mitigating risk associated with your portfolio, but risk cannot be avoided entirely. If any Investment Advisor makes you a guaranteed "risk-free" investment offer you should be very cautious.

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Are my accounts protected by SIPC Insurance?

Yes. Since Scottrade is a US brokerage firm and custodian for Riverfront Asset Management, all accounts are protected by SIPC Insurance up to the SIPC limits.

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How is Riverfront Asset Management regulated?

Riverfront Asset Managment, LLC is incorporated and licensed in the state of New York as a "Registered Investment Advisor" (RIA). RIA's are regulated by the government of the state in which they are based or the U.S. Securities and Exchange Commission. As a RIA firm, Riverfront Asset Management, LLC is held to a higher standard of care with respect to its clients than a brokerage firm. An RIA firm representative has a fiduciary responsibility to his or her clients whereas a broker does not.

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