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- Michael Jones, CFA
- Founding Partner,
Chairman
and
Chief Investment Officer
 - Printable Version
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Michael began his career in 1985 as a credit analyst for Central Fidelity Bank, and ultimately rose to become the bank's Mortgage Backed Securities Portfolio Manager. He moved to New York in 1991, serving as MBS Portfolio Manager for Alliance Capital Management and returned to Richmond to join Ryland Capital Management, a start-up money manager that was soon acquired by Wheat First Butcher Singer. Both before and after the acquisition, Michael served as Director of Fixed Income Research and, in that capacity, managed portfolios and developed proprietary analytical software. Michael became Chief Fixed Income Officer for Mentor in 1996, and was made Co-Head of Fixed Income when Mentor was merged into Evergreen Investment Management.
Michael was named Chief Investment Officer for Wachovia Securities in 2002. In this capacity, he led all aspects of advice at the firm, including asset allocation, tactical strategy and portfolio implementation, and was responsible for the management of over $75B in discretionary portfolio assets.
Michael earned a BA in Economics from the College of William and Mary and an MBA from the Wharton School at the University of Pennsylvania. He received his CFA designation in 1990. |
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Rod is an Irishman with 25 years of global investment experience. He has lived in and worked in the securities industry in Asia, Europe and North America. Trained in Japan by Nomura Securities in 1983, he worked as an Asian specialist for Citicorp on Wall Street from 1985 -1988. In 1988 Rod went home to Ireland where he worked for six years as a portfolio manager investing in the US, Asian and Latin American markets, returning to Japan in 1993 as the Investment Strategist for Baring Securities in Tokyo.
In 1995, Rod moved to Richmond to work for Wachovia Securities and its predecessor firms in various key investment roles. Rod was appointed Wachovia's Chief Investment Strategist in 2000 and served in that role until he and three colleagues started Riverfront Investment Group in April 2008.
Rod has an MA in Economics from Dundee University in Scotland. |
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Doug was formerly a Managing Director and Chief Equity Strategist of Wachovia Securities, where he was responsible for the equity advice portion of the Advisory Services Group. He led a team of talented and experienced portfolio managers and strategists, whose goal was to provide independent and unambiguous equity advice. The work of his team included actively managed portfolios, weekly investment pieces and the regular monitoring of widely held positions of the firm's clients.
Doug's career at Wachovia Securities, which began in 1992, has included positions in fixed income trading, portfolio management and marketing. He received his CFA designation in 1997 and earned a BS in Accounting and an MBA from the University of Richmond, graduating with honors. Doug is also a regular guest on the financial news channels (CNBC, Bloomberg) and is frequently quoted in the financial press. |
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Pete serves as Chief Operating Officer for Riverfront and is responsible for all non-investment functions of the firm including distribution, finance and operations.
With 26 years of industry experience, Pete spent much of his career at Wachovia Securities and its predecessor firms. He worked in all areas of the firm including capital markets, asset management and retail brokerage. Pete served as President of the firm's asset management distribution company (Mentor Investment Group, LLC), until it was merged into the Evergreen Funds following First Union's acquisition of Wachovia. After the merger, Pete served as President of Wachovia Securities Private Client Group. Pete left Wachovia Securities in 2003 to form Cay Holdings, LLC., which provided growth capital to small businesses. Most recently, Pete served as head of retail sales for Davenport & Company in Richmond, Va.
Pete holds an undergraduate degree in Accounting from The College of William and Mary and an MBA from the University of Richmond. |
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Tim's investment career spans over 20 years and has been focused on the active management of core, core plus, and high yield bond portfolios. Since 2004, Tim has served as Wachovia Securities’ Chief Fixed Income Strategist. In this role he was responsible for managing the traditional and alternative fixed income holdings in discretionary, actively managed portfolios and for developing, implementing, and communicating fixed income strategies. Tim has been a frequent guest on CNBC. Tim earned a BS in Finance from DePaul University and an MBA. from the University of Chicago. He received his CFA designation in 1993. |
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Kevin serves as the Senior Fixed Income Portfolio Manager for RiverFront. Kevin previously served in the same capacity at Wells Fargo Advisors, LLC and its predecessor firms where he managed both taxable and tax-exempt fixed income portfolios. His career began in 1992 at Wells Fargo Advisors, LLC during which time he held numerous fixed income trading positions including senior preferred stock trader, corporate bond trader, senior fixed income strategist, and senior fixed income portfolio manager. Most recently Kevin managed a group that oversaw $1.3 billion of taxable and tax-exempt separately manage accounts. He earned a BA in Business and Economics from Randolph-Macon College and an MBA from Virginia Commonwealth University. |
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Sam was formerly a Senior Vice President and Portfolio Manager at Wachovia Securities, where he was responsible for the management of large cap equity funds within the Advisory Services Group since 2000. He originally joined Wachovia Securities in 1996 as an analyst for the Mentor Strategy Mutual Fund. He was also actively involved with Wachovia Securities' advice team, publishing weekly reports and contributing to the firm's tactical asset allocation decisions. Sam received his Chartered Market Technician designation in 2007 and earned his Bachelor of Business Administration degree from James Madison University. |
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Before joining Riverfront, Paul spent over 13 years as a research analyst and senior portfolio manager with Wachovia Securities and its predecessor companies in Richmond. In 2000, Paul maintained a small/mid cap buy list, which became an active separately managed account in 2002 and was offered as part of Wachovia's Compass Advisory program. He earned his BS in Management from Virginia Polytechnic Institute and State University. |
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Bill most recently served as Chief Quantitative Strategist for Wachovia Securities, LLC. He assumes the same role at Riverfront. Together with Riverfront's Chief Investment Strategist, Bill provides analysis and commentary for the firm's weekly and semi-annual outlook publications. He joined Wachovia's Investment Strategy Department in 1991. Bill is a Chartered Financial Analyst and Chartered Market Technician. Bill previously served as a Compass Portfolio Manager and a portfolio manager for the Mentor Strategy Mutual Fund. Bill has been quoted in The Wall Street Journal, Investor’s Business Daily, the LA Times, Dow Jones Newswire, Bloomberg Radio and AFP. |
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Marc was the Director of Analytical Support at Wachovia Securities where he was responsible for the research and development of analytical software and tools for the firm. Marc led an extremely talented team that worked directly with the Chief Investment Officer to produce cutting edge tools for the advice team, and then oversaw the migration of those tools to the Financial Advisor's desktop. This work became the core for all the brokerage firm's systems. Marc has worked directly with Michael Jones for over 13 years creating technical solutions to aid various businesses for Wachovia. Marc received a BS in Computer Science with minors in Physics and Economics from University of Richmond in 1995. |
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Chris is the firm's Portfolio Risk Manager. He began his career at Wachovia Securities in 2000 and worked in various capacities with the Advice Group, including Portfolio Manager, Portfolio Risk Manager and Sector Specialist covering technology. Additionally, he oversaw the firm's Priority List for four years. Chris graduated with a Bachelor of Science in Business Administration from the Kenan-Flagler School of Business, University of North Carolina at Chapel Hill. |
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Rebecca brings over 25 years of industry experience to Riverfront. Rebecca joined Wachovia Securities in 1987 and most recently served as Senior Vice President and Senior Portfolio Manager for the Wachovia Compass Advisory Program. Additionally at Wachovia, she managed relationships with the firm's national research providers and was responsible for communicating research recommendations to the retail system through live daily broadcasts, written reports and branch seminars. She holds a BS in Business Administration from the University of Richmond and an MBA from Virginia Commonwealth University. |
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Ken Liu is the Global Macro Strategist at Riverfront Investment Group, LLC. He works with Chief Quantitative Strategist Bill Ryder and Chief Investment Strategist Rod Smyth to provide timely market analysis and advice for Riverfront's clients and portfolios. Ken was with Wachovia Securities and its predecessor firms since 1998 and helped establish the Investment Strategy Group. Ken has a Bachelor's Degree in Economics from Brown University. |
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Karrie directs the portfolio administration and trading function at Riverfront Investment Group and is the primary liaison to the firm's back office outsource provider, SEI. Karrie joined Wachovia Securities in 1999 as a Financial Advisor for a six-member Wealth Management team. Karrie began working with the Wachovia Compass Advisory Portfolios in 2004 and her primary role was marketing of the portfolios and disseminating market information to the field. Karrie received a BA in economics and Spanish from the University of Virginia as well as an MBA from the University of Richmond. She also holds the designation of Accredited Asset Management Specialist from the College for Financial Planning. |
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Wendy is the Manager of Compliance and Administration for Riverfront Investment Group. For the past five years, she has served as the Compliance Liaison for the Advisory Services Group at Wachovia Securities. In this capacity, she has worked with Management, Compliance & Legal personnel and several Regulators to ensure that the Group was consistently operating within all applicable regulations and guidelines. Wendy joined a predecessor of Wachovia Securities in 1993. Wendy graduated from Muhlenberg College in Allentown, PA, with a Bachelor of Arts degree. |
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Tia joins Riverfront from Wachovia Securities where she began her career in the financial services industry in March 2006. Tia worked as an Administrative Assistant for the Advisory Services Group. Prior to joining Wachovia, Tia worked at Old Dominion University in the Office of Finance as an Accounts Receivable Representative. While at Old Dominion University, she also earned her BS in Finance. |
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Rachel joined Riverfront Investment Group in August 2008. Rachel began her career in the financial services industry in 2004 working in private client group operations for Merrill Lynch. Prior to joining Riverfront, she served 3 years as a Registered Client Service Associate with Morgan Keegan & Co, Inc. Rachel received her BS in Business Administration and Finance from
Baldwin-Wallace College. |
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Liz joins Riverfront Investment Group as a Marketing Associate. Liz began her career in the financial industry in 1997 working in Private Wealth Management for Goldman Sachs in Atlanta, GA. After moving back to Richmond in 2001, she worked in Private Client Services for Suntrust Bank. Prior to joining Riverfront, she served as a Business Manager for a local interior designer. Liz received her BS in Nursing from The University of Virginia. |
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Rob joins Riverfront Investment Group as one of the firm’s Portfolio Administrators. He began his career in the summer of 2008 as an intern with the company. Rob received his degree in Managerial Economics from Allegheny College, graduating with honors. He received his Series 7 license in 2008. |
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Scot is the Regional Director for RiverFront Investment Group. Since 1981, he has served in a number of client- and advisor-focused roles, including Financial Advisor, Branch Manager, Regional Sales Manager, and Regional President. He retired in 2007 as Wachovia Securities’ Southeast Regional President – Private Client Group. In addition to his corporate responsibilities, Scot has served in several industry roles, including the Board of Governors of the Florida Securities Dealers Association, an Arbitrator with the National Association of Securities Dealers, and the Securities Industry Institute Professional Development programs at the Wharton School of Business. Following his retirement from Wachovia Securities, Scot formed Winter Strategic Solutions, LLC, providing strategic advice and planning to the financial services industry.
Scot has undergraduate and graduate degrees from the University of Texas at Arlington and was a post-graduate Fellow at Indiana University. He achieved the rank of Eagle Scout in 1971. |
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Mary served as a Managing Director and the Assistant Director of the Banking Services Division of the Financial Services Group of Wachovia Securities, one of the largest retail brokerage firms in the United States. Mary was tapped to develop an emerging line of business, and in four years grew the firm’s position to a No. 1 ranking by McLagan among brokerage peer firms, and a Top Three productivity strategy for Financial Advisors. Mary was with for Wachovia Securities for 10 years, a member of seven merger integration and Advisor retention teams, and was appointed to the Senior Leadership Board.
Mary has more than 20 years experience in the financial services industry. Starting out on the institutional trading floor of Alex Brown in the nascent days of the NASDAQ, Mary moved on to work on national sales strategy for Signet Bank, and the successful spin-off of Capital One, and as a Marketing Manager for Circuit City’s Bank Division.
Mary studied Economics and Public Policy at Goucher College in Baltimore, and received Securities Industry Association Certification through the Wharton School. |
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Kathy serves as the firm’s business development manager. Her career spans more than thirty years in the investment business, with the majority having been spent with Wachovia Securities and its predecessor firms. Early in her career, she managed the retail fixed income trading efforts at Wheat, First Securities, including the marketing and distribution of municipal bond underwritings during the years of Wheat’s dominance in public finance within their footprint. In the late 1990s Kathy was a portfolio manager in the private bank at Bank of America in Richmond with $500 million assets under her management. In her most recent position at Wachovia Securities, Kathy worked with the RiverFront portfolio team as manager of the functions that disseminated advice and research to financial advisors. She worked closely with Marc Cheatham as a subject matter expert for the firm in creating leading edge analytical tools for financial advisors’ desktops. Kathy received her BA from the College of William and Mary. |
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Stuart serves as one of the Regional Directors for RiverFront Investment Group. He brings more than 20 years experience in the Financial Services Industry. Prior to joining RiverFront, Stuart was the Founder and Managing Principal of Advisor PT, an industry-leading Performance Coaching and Consulting Firm. Previous to founding Advisor PT in early 2009, Stuart spent 15 years with Wachovia Securities, LLC, and its predecessor firms. He worked in the asset management and retail brokerage areas of the firm. His last assignment was National Sales Manager for Wachovia Securities Financial Network, the independent arm of Wachovia Securities, LLC. Previous responsibilities include Regional Vice President for Mentor Investment Group, Director of Business Development for Profit Formula, a semi-independent Advisor platform designed for practices above $1 million; National Recruiting Manager for the firm’s Private Client Group and Regional Director for Wachovia Securities Financial Network.
Stuart earned a BA in Economics and English from Emory & Henry College. He is also a graduate of the Securities Industry Institute at The University of Pennsylvania — Wharton School of Business. |
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