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Privacy Policy

Our Commitment to You
RiverFront Investment Group is committed to protecting the privacy and security of our clients' information. Financial Advisors and their clients trust us with personal and financial information, and we honor that trust by handling all information carefully and sensibly. This notice outlines the Standards we use for protecting information

Security Standards
RiverFront Investment Group, LLC ("RiverFront") continually reviews, updates and improves our security standards and procedures to help us protect your confidential information. We also take the following measures:

  • Extraneous copies of documents, notes and working papers, and other material that may contain confidential information about you are carefully and securely destroyed to help protect your privacy.
  • Only those individuals who need to do so as a part of their job responsibilities are authorized to have access to your information.
  • We regularly train our employees on privacy and information security, and on their obligations to protect your information.

The Information We Gather to Better Serve You
When you hire RiverFront to manage investment portfolios, we may ask for information that such as where you work, your income and other investments, your financial goals, and other related information. We use this information to help us evaluate your current and long-term income needs and your risk tolerance, all of which is critical in helping us manage investment portfolios to help you achieve your financial goals.

The Information We Share
RiverFront may at times be required to share information about you with Federal and State regulatory or legal authorities. Only the appropriate information which we are obligated by State and Federal laws and regulations will be made available to these authorities. We do not sell customer lists or individual client information. We do not disclose client names and information to nonaffiliated parties except where we are required to make that information available to legal and regulatory authorities, or as permitted by law to assist us in providing services to you. For example, RiverFront may disclose information about you to certain non-affiliated third parties such as attorneys, accountants, auditors and persons or consulting firms who are evaluating our business or are assessing our compliance with industry standards. We enter into contractual agreements with all nonaffiliated third parties that prohibit such third parties from disclosing or using the information other than to carry out the purposes for which we disclose the information.

No personal information, including that regarding your investment portfolio or the terms of your management agreement with RiverFront will be disclosed, except with your express permission, as permitted or required by law, or as necessary to provide services to you. Many financial institutions outsource some of their processing and clerical work to specialists in order to improve their efficiency. RiverFront anticipates that it too will outsource some of this work performed on your behalf, including for example, the independent reconciliation and verification of clients' assets and portfolio accounting information. We will be highly selective in choosing those companies, and we will restrict the information we provide them to only what they need to do their job. We will require them to comply with strict standards of security and confidentiality. They will not be permitted to release, to use, or to transfer any client information to any other party for their own purposes.

We will at times select other companies, at our discretion, to provide products and services that we or affiliated companies also provide, such as securities brokerage services. Only the information about you and your portfolios managed by RiverFront that is required by legal and regulatory authorities, if any, will be released to those firms. In all cases we will require those firms to adhere to strict standards of security and confidentiality. They will not be permitted to release, to use, or to transfer any of your information to any other party for their own purposes. In all cases we recognize the great responsibility we have on behalf of our clients to maintain the security and the confidentiality of your personal information.

Offering You Choices
RiverFront offers a variety of financial products and services to meet your financial goals, and we want to let you know about them when they could be of interest to you. We recognize, however, that you might have preferences about how we contact you to let you know about them. You may also have questions about how we will handle specific circumstances regarding your personal information, or would like to tell us how you prefer we handle the security and availability of your personal information. To discuss these or any other questions, express your preferences, or give us feedback, contact us at info@riverfrontig.com.

RiverFront Investment Group, LLC.
9011 Arboretum Parkway
Suite 110
Richmond, Va. 23236

Revised March 1, 2008