BG

Brian Thomas Gaertner

28 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
29 advisors
Number of Clients
977 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only

RiverFront is compensated by receiving a mutually agreed upon fee that is a percentage of assets under management in a client account. RiverFront’s advisory fees are negotiable and will vary from program to program, but typically do not exceed 0.50% per year on a client’s account assets under management, calculated on a quarterly basis. Specific information on the investment advisory fees payable to RiverFront under a wrap fee program will be provided by the applicable Sponsor Firm.

Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningCharitable GivingFinancial Planning & CoachingInsurance PlanningBusiness OwnersCorporate ExecutivesHigh Net WorthMiddle IncomeNovice Investors
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Advisor Information

Office location

1214 East Cary Street, Richmond, VA, 23219

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Brian is the National Accounts Director at RiverFront Investment Group, LLC and a Registered Representative of a Broker Dealer- Marketing/Sales for the RiverFront Funds, Distributed by ALPS. He also serves as President of Whitefish Bay Gridiron Club Inc, a non-profit fundraising organization for local football teams.

Employment History
Current Registrations
Riverfront Investment Group, LLC
May 2012 - Present · 13 yrs 8 mos
Alps Distributors, INC.Broker
August 2011 - Present · 14 yrs 5 mos
Alps Distributors, INC.
August 2011 - Present · 14 yrs 5 mos
Previous Registrations
Robert W. Baird & CO. Incorporated
August 2000 - August 2011 · 11 yrs
Robert W. Baird & CO. Incorporated Broker
August 2000 - August 2011 · 11 yrs
Strong Funds Distributors, INC.Broker
March 1996 - December 1998 · 2 yrs 9 mos
State Registrations2 states
VAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.