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Livermore
Livermore
ZHEN

RiverFront Investment Group, LLC

SEC CIK
0001469751
Latest filing
Jul 29, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 2, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
80
−64 vs. Q2 2021
Portfolio value
$3.00B
−$1.96B (−39.5%) vs. Q2 2021
Filed
Nov 2, 2021
SEC
Holdings of RiverFront Investment Group, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG3,307,760$284.6M9.5%−2,948,499−47.1%Reduced–
iShares Core S&P 500 ETF464287200ETF641,960$276.6M9.2%−332,851−34.1%Reduced–
iShares Core MSCI Eafe ETF46432F842ETF3,334,986$247.6M8.3%−1,962,166−37.0%Reduced–
Vanguard Total Bond Market ETF921937835ETF2,745,030$234.6M7.8%−2,006,615−42.2%Reduced–
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF7,248,840$216.4M7.2%−4,061,732−35.9%Reduced–
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF1,583,921$149.5M5.0%−955,232−37.6%Reduced–
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD1,650,500$136.0M4.5%−1,011,593−38.0%Reduced–
iShares Tr464287770U.S. FIN SVC ETF573,443$107.9M3.6%−435,547−43.2%Reduced–
State Street Technology Select Sector SPDR ETF81369Y803ETF605,060$90.3M3.0%−272,362−31.0%Reduced–
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM1,497,998$89.3M3.0%+937,543+167.3%Added–
Invesco QQQ Trust Series I46090E103ETF240,872$86.2M2.9%−272,208−53.1%Reduced–
iShares Tr464288588MBS ETF626,688$67.8M2.3%−281,063−31.0%Reduced–
Alps ETF Tr00162Q528DYNAM US ETF1,559,634$67.0M2.2%−2,896−0.2%Reduced–
State Street Health Care Select Sector SPDR ETF81369Y209ETF510,742$65.0M2.2%−259,497−33.7%Reduced–
Alps ETF Tr00162Q536DYNA CORE IN ETF2,412,440$61.3M2.0%+319,197+15.2%Added–
Vanguard Scottsdale FDS92206C706INTER TERM TREAS896,002$60.5M2.0%−491,010−35.4%Reduced–
iShares Core MSCI Emerging Markets ETF46434G103ETF958,709$59.2M2.0%−1,217,487−55.9%Reduced–
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF304,062$54.6M1.8%−144,129−32.2%Reduced–
iShares Tr464287721U.S. TECH ETF501,812$50.8M1.7%−391,783−43.8%Reduced–
Global X FDS37954Y673US INFR DEV ETF1,673,125$42.5M1.4%−1,474,539−46.8%Reduced–
iShares Tr464288885EAFE GRWTH ETF352,519$37.5M1.3%−481,234−57.7%Reduced–
First Tr Exch Traded FD III33739P608RIVRFRNT DYN DEV521,323$36.1M1.2%+14,716+2.9%Added–
iShares Tr46428743220 YR TR BD ETF249,749$36.0M1.2%−202,646−44.8%Reduced–
iShares Tr464288877EAFE VALUE ETF591,635$30.1M1.0%−742,158−55.6%Reduced–
State Street Communication Services Select Sector SPDR ETF81369Y852ETF357,083$28.6M1.0%−154,817−30.2%Reduced–
Alps ETF Tr00162Q510ACTIVE EQTY OPPT553,269$24.4M0.8%−147,543−21.1%Reduced–
MSFTMicrosoft CorpStock79,792$22.5M0.7%−43,139−35.1%ReducedHistory
State Street Industrial Select Sector SPDR ETF81369Y704ETF229,012$22.4M0.7%−414,009−64.4%Reduced–
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF300,474$20.7M0.7%−131,473−30.4%Reduced–
iShares Core Dividend Growth ETF46434V621ETF391,472$19.7M0.7%−169,073−30.2%Reduced–
PLDPrologis, Inc.REIT156,201$19.6M0.7%−107,781−40.8%ReducedHistory
Vanguard Scottsdale FDS92206C813LG-TERM COR BD178,556$18.9M0.6%−97,671−35.4%Reduced–
State Street Materials Select Sector SPDR ETF81369Y100ETF221,483$17.5M0.6%−97,248−30.5%Reduced–
Vanguard Communication Services ETF92204A884ETF122,846$17.3M0.6%−62,961−33.9%Reduced–
iShares Tr46428865310-20 YR TRS ETF110,460$16.2M0.5%−70,687−39.0%Reduced–
State Street Energy Select Sector SPDR ETF81369Y506ETF307,617$16.0M0.5%−157,808−33.9%Reduced–
iShares Core MSCI Europe ETF46434V738ETF273,311$15.3M0.5%−431,186−61.2%Reduced–
VanEck ETF Trust92189F437FALLEN ANGEL HG461,300$15.2M0.5%−787,601−63.1%Reduced–
iShares U.S. Medical Devices ETF464288810ETF191,899$12.0M0.4%−235,373−55.1%ReducedConverted for a 6-for-1 split–
AAPLApple Inc.Stock83,145$11.8M0.4%−35,135−29.7%ReducedHistory
iShares Tr464287515EXPANDED TECH29,164$11.6M0.4%−49,533−62.9%Reduced–
TGTTarget CorpStock46,029$10.5M0.4%−51,454−52.8%ReducedHistory
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD195,994$10.5M0.3%−390,981−66.6%Reduced–
First Tr Exch Traded FD III33739P707RIVR FRNT DYN140,278$9.43M0.3%−14,744−9.5%Reduced–
iShares S&P 500 Value ETF464287408ETF55,998$8.14M0.3%−68,986−55.2%Reduced–
SBUXStarbucks CorpStock64,196$7.08M0.2%−70,507−52.3%ReducedHistory
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF85,429$6.25M0.2%−319,631−78.9%Reduced–
UNHUnitedHealth Group IncStock14,856$5.80M0.2%−15,746−51.5%ReducedHistory
GEGeneral Electric CoStock53,487$5.51M0.2%−58,421−52.2%ReducedConverted for a 1-for-8 splitHistory
BSXBoston Scientific CorpStock121,701$5.28M0.2%−128,341−51.3%ReducedHistory
NOCNorthrop Grumman CorpStock14,433$5.20M0.2%−15,813−52.3%ReducedHistory
CATCaterpillar IncStock25,131$4.82M0.2%−28,622−53.2%ReducedHistory
Alps ETF Tr00162Q544RIVERFRONT UNC115,784$2.98M0.1%−160−0.1%Reduced–
Alps ETF Tr00162Q783STRATEGIC INCOME104,977$2.60M0.1%−233−0.2%Reduced–
SYKStryker CorpStock9,200$2.43M0.1%00.0%UnchangedHistory
First Tr Exch Traded FD III33739P806RIVRFRNT DYN EUR26,203$1.91M0.1%00.0%Unchanged–
Vanguard Index FDS922908710COM3,581$1.42M<0.1%00.0%Unchanged–
Vanguard Ftse Developed Markets ETF921943858ETF25,682$1.30M<0.1%+25,682New–
iShares Inc46434G764MSCI EMRG CHN19,143$1.16M<0.1%00.0%Unchanged–
ABTAbbott LaboratoriesStock9,752$1.15M<0.1%00.0%UnchangedHistory
DISWalt Disney CoStock4,800$812.0K<0.1%−42−0.9%ReducedHistory
iShares Russell 1000 Growth ETF464287614ETF2,564$703.0K<0.1%00.0%Unchanged–
State Street SPDR Portfolio Short Term Corporate Bond ETF78464A474ETF21,204$663.0K<0.1%−297,789−93.4%Reduced–
State Street Financial Select Sector SPDR ETF81369Y605ETF16,836$632.0K<0.1%+16,836New–
MCDMcDonalds CorpStock2,410$581.0K<0.1%−25−1.0%ReducedHistory
iShares Russell 1000 Value ETF464287598ETF3,647$571.0K<0.1%00.0%Unchanged–
Aim Tax Exempt FDS Invesco Tax001419555MUTUAL FUNDS40,971$564.0K<0.1%00.0%Unchanged–
Vanguard High Dividend Yield Index ETF921946406ETF4,874$504.0K<0.1%00.0%Unchanged–
iShares Tr464287234MSCI EMG MKT ETF9,093$458.0K<0.1%00.0%Unchanged–
Vanguard Mortgage-Backed Securities ETF92206C771ETF8,571$457.0K<0.1%−129,610−93.8%Reduced–
BABoeing CoStock2,000$440.0K<0.1%00.0%UnchangedHistory
J P Morgan Exchange Traded F46641Q647MUNICIPAL ETF7,812$429.0K<0.1%00.0%Unchanged–
Hartford FDS Exchange Traded41653L503MUN OPORTUNITE10,246$428.0K<0.1%00.0%Unchanged–
PEPPepsiCo IncStock2,400$361.0K<0.1%−55−2.2%ReducedHistory
Vanguard Index FDS922908645MDCAP INDX ADM994$291.0K<0.1%00.0%Unchanged–
Matthews Intl FDS Pac Tiger IN577130834Equity Mutual Fu7,952$266.0K<0.1%00.0%Unchanged–
New Perspective FD Inc648018109COM3,946$264.0K<0.1%00.0%Unchanged–
KOCoca Cola CoStock4,841$254.0K<0.1%−109−2.2%ReducedHistory
JPMJPMorgan Chase & CoStock1,500$246.0K<0.1%00.0%UnchangedHistory
HBANHuntington Bancshares IncCOM13,710$212.0K<0.1%00.0%UnchangedHistory

Sold out since Q2 2021 (66)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of RiverFront Investment Group, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
iShares Tr464287812US CONSM STAPLES13,916$2.56M0.1%–
SPDR Series Trust78464A607ST STR DOW REIT11,192$1.17M<0.1%–
First Tr Exch Traded FD III33739P509RIVRFRNT DY ASIA16,012$929.0K<0.1%–
iShares Tr46429B655FLTG RATE NT ETF7,287$370.0K<0.1%–
iShares U S ETF Tr46431W507SHOR DURA BD ETF7,142$358.0K<0.1%–
AMDAdvanced Micro Devices IncStock3,495$328.0K<0.1%History
BIIBBiogen Inc.COM935$324.0K<0.1%History
LLYEli Lilly & CoStock1,397$321.0K<0.1%History
ETSYEtsy IncCOM1,556$320.0K<0.1%History
ILMNIllumina, Inc.COM672$318.0K<0.1%History
NOWServiceNow, Inc.Stock573$315.0K<0.1%History
SPDR Series Trust78468R200ST STR RATE ETF10,206$313.0K<0.1%–
INTUIntuit Inc.Stock627$307.0K<0.1%History
FTNTFortinet, Inc.Stock1,273$303.0K<0.1%History
QRVOQorvo, Inc.Stock1,526$299.0K<0.1%History
ABMDAbiomed IncCOM957$299.0K<0.1%History
EWEdwards Lifesciences CorpStock2,867$297.0K<0.1%History
METAMeta Platforms, Inc.Stock850$296.0K<0.1%History
MRKMerck & Co., Inc.Stock3,710$289.0K<0.1%History
AMTAmerican Tower CorpREIT1,069$289.0K<0.1%History
MSIMotorola Solutions, Inc.Stock1,334$289.0K<0.1%History
QCOMQualcomm IncStock2,018$288.0K<0.1%History
CCICrown Castle Inc.REIT1,447$282.0K<0.1%History
VRSNVerisign IncCOM1,233$281.0K<0.1%History
DPZDominos Pizza IncCOM602$281.0K<0.1%History
ADSKAutodesk, Inc.COM959$280.0K<0.1%History
PMPhilip Morris International Inc.Stock2,806$278.0K<0.1%History
AOSSmith A O CorpCOM3,806$274.0K<0.1%History
GDGeneral Dynamics CorpStock1,445$272.0K<0.1%History
LDOSLeidos Holdings, Inc.COM2,688$272.0K<0.1%History
EFXEquifax IncCOM1,123$269.0K<0.1%History
TXTTextron IncCOM3,907$269.0K<0.1%History
UPSUnited Parcel Service IncStock1,275$265.0K<0.1%History
FOXAFox CorpCL A COM7,136$265.0K<0.1%History
HIIHuntington Ingalls Industries, Inc.COM1,257$265.0K<0.1%History
LHXL3HARRIS Technologies, Inc.Stock1,222$264.0K<0.1%History
LMTLockheed Martin CorpStock699$264.0K<0.1%History
MAMastercard IncStock716$261.0K<0.1%History
RTXRTX CorpStock3,064$261.0K<0.1%History
DVADavita Inc.COM2,162$260.0K<0.1%History
AMGNAmgen IncStock1,057$258.0K<0.1%History
MOAltria Group, Inc.Stock5,386$257.0K<0.1%History
INCYIncyte CorpCOM3,039$256.0K<0.1%History
CTSHCognizant Technology Solutions CorpCL A3,684$255.0K<0.1%History
IPInternational Paper CoCOM4,161$255.0K<0.1%History
YUMYum Brands IncStock2,209$254.0K<0.1%History
GILDGilead Sciences, Inc.Stock3,649$251.0K<0.1%History
BF.BBrown Forman CorpStock3,329$249.0K<0.1%History
WYWeyerhaeuser CoCOM NEW7,087$244.0K<0.1%History
WuXi Biologics Cayman Inc98260N108COM6,611$242.0K<0.1%–
EMNEastman Chemical CoStock2,060$241.0K<0.1%History
Constellation Software Inc21037X100COM159$241.0K<0.1%–
DOWDow Inc.Stock3,782$239.0K<0.1%History
LYBLyondellBasell Industries N.V.SHS - A -2,317$238.0K<0.1%History
CECelanese CorpStock1,565$237.0K<0.1%History
CMICummins IncStock964$235.0K<0.1%History
VRTXVertex Pharmaceuticals IncStock1,125$227.0K<0.1%History
INFYInfosys LtdSPONSORED ADR10,717$227.0K<0.1%History
ASMLASML Holding NVADR325$225.0K<0.1%History
GMABGenmab A/SSPONSORED ADS5,362$219.0K<0.1%History
BSCLBILI Social International, Inc.BULSHS 2021 CB9,770$206.0K<0.1%History
WCNWaste Connections, Inc.COM1,700$203.0K<0.1%History
NVONovo Nordisk A SADR2,409$202.0K<0.1%History
Temenos AG Sponsored ADR87974R208ADR1,255$202.0K<0.1%–
BABAAlibaba Group Holding LtdADR883$200.0K<0.1%History
PT BK Rakyat ADR Shs B69366X100COM11,474$156.0K<0.1%–