Chief Compliance Officer

0001633387-20-000005.txt : 20201013 0001633387-20-000005.hdr.sgml : 20201013 20201013090938 ACCESSION NUMBER: 0001633387-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201013 DATE AS OF CHANGE: 20201013 EFFECTIVENESS DATE: 20201013 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RFG Advisory, LLC CENTRAL INDEX KEY: 0001633387 IRS NUMBER: 452787436 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16724 FILM NUMBER: 201234870 BUSINESS ADDRESS: STREET 1: 1400 URBAN CENTER DRIVE STREET 2: SUITE 475 CITY: BIRMINGHAM STATE: AL ZIP: 35242 BUSINESS PHONE: 205-397-2450 MAIL ADDRESS: STREET 1: 1400 URBAN CENTER DRIVE STREET 2: SUITE 475 CITY: BIRMINGHAM STATE: AL ZIP: 35242 FORMER COMPANY: FORMER CONFORMED NAME: RFG Advisory Group, LLC DATE OF NAME CHANGE: 20150210 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001633387 XXXXXXXX 09-30-2020 09-30-2020 RFG Advisory, LLC

1400 URBAN CENTER DRIVE SUITE 475 BIRMINGHAM AL 35242

13F HOLDINGS REPORT 028-16724 N Victoria Scoles Chief Compliance Officer 205 397-2450 Victoria Scoles Birmingham AL 10-10-2020 0 405 712786 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y10110476534SHSOLE 006534ABBOTT LABSCOM0028241009638846SHSOLE 008846ABBVIE INCCOM00287Y109226625865SHSOLE 0025865ACCENTURE PLC IRELANDSHS CLASS AG1151C1017103140SHSOLE 003140ACTIVISION BLIZZARD INCCOM00507V1092292828SHSOLE 002828ADOBE INCCOM00724F1018071646SHSOLE 001646AFLAC INCCOM00105510282222606SHSOLE 0022606AIR PRODS & CHEMS INCCOM00915810613714604SHSOLE 004604ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1024071383SHSOLE 001383ALPHABET INCCAP STK CL C02079K107998679SHSOLE 00679ALPHABET INCCAP STK CL A02079K3051234842SHSOLE 00842ALPS ETF TRMED BREAKTHGH00162Q5932776723SHSOLE 006723ALTRIA GROUP INCCOM02209S10369317941SHSOLE 0017941AMAZON COM INCCOM02313510645121433SHSOLE 001433AMERICAN ELEC PWR INCCOM0255371012032483SHSOLE 002483AMERICAN EXPRESS COCOM0258161096306281SHSOLE 006281AMERICAN TOWER CORP NEWCOM03027X1005552297SHSOLE 002297AMERIPRISE FINL INCCOM03076C1063742425SHSOLE 002425AMERISOURCEBERGEN CORPCOM03073E1054484618SHSOLE 004618AMGEN INCCOM03116210025049854SHSOLE 009854ANALOG DEVICES INCCOM0326541055504714SHSOLE 004714ANTHEM INCCOM0367521033191187SHSOLE 001187APPLE INCCOM03783310014972129281SHSOLE 00129281ARES CAP CORPCOM04010L10335125172SHSOLE 0025172AT&T INCCOM00206R102284299674SHSOLE 0099674AUTODESK INCCOM0527691065022173SHSOLE 002173AUTOMATIC DATA PROCESSING INCOM05301510313759856SHSOLE 009856BALL CORPCOM0584981063053666SHSOLE 003666BANCORPSOUTH BK TUPELO MISSCOM05971J10220710686SHSOLE 0010686BANK AMER CORPCOM06050510450020756SHSOLE 0020756BCE INCCOM NEW05534B7602255426SHSOLE 005426BERKSHIRE HATHAWAY INC DELCL B NEW084670702254511953SHSOLE 0011953BIO RAD LABS INCCL A090572207446866SHSOLE 00866BLACKROCK INCCOM09247X10110431851SHSOLE 001851BOEING COCOM0970231054862939SHSOLE 002939BRISTOL MYERS SQUIBB 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ETF46429B66386810783SHSOLE 0010783ISHARES TRMIN VOL EAFE ETF46429B6892173178SHSOLE 003178ISHARES TRMIN VOL USA ETF46429B697238737461SHSOLE 0037461ISHARES TRUSA QUALITY FCTR46432F3397166900SHSOLE 006900ISHARES TRUSA SIZE FACTOR46432F3707788293SHSOLE 008293ISHARES TREDGE MSCI USA VL46432F388296040121SHSOLE 0040121ISHARES TRUSA MOMENTUM FCT46432F39617442118333SHSOLE 00118333ISHARES TRCORE MSCI EAFE46432F842287847744SHSOLE 0047744ISHARES TRCORE 1 5 YR USD46432F85957911230SHSOLE 0011230ISHARES TR0-5YR HI YL CP46434V407340177384SHSOLE 0077384ISHARES TRCORE DIV GRWTH46434V62183921079SHSOLE 0021079ISHARES TRESG 1 5 YR USD46435G24330811788SHSOLE 0011788ISHARES TRCR 5 10 YR ETF46435G4174157926SHSOLE 007926ISHARES TRESG MSCI USA ETF46435G42510305135213SHSOLE 00135213ISHARES TRESG US AGR BD46435U5494578085SHSOLE 008085ISHARES US ETF TRSHT MAT BD ETF46431W507326465134SHSOLE 0065134JANUS DETROIT STR TRHENDRSN SHRT ETF47103U8864939780SHSOLE 009780JOHNSON & JOHNSONCOM478160104289519448SHSOLE 0019448JP MORGAN EXCHANGE TRADED FDDIV RTN EM EQT46641Q3083397254SHSOLE 007254JPMORGAN CHASE & COCOM46625H100256426634SHSOLE 0026634KANSAS CITY SOUTHERNCOM NEW4851703023551965SHSOLE 001965KIMBERLY CLARK CORPCOM494368103161710950SHSOLE 0010950KINDER MORGAN INC DELCOM49456B10116813635SHSOLE 0013635KROGER COCOM5010441012025966SHSOLE 005966LATTICE STRATEGIES TRHARTFORD MLT ETF51841610295236797SHSOLE 0036797LENNAR CORPCL A5260571042713317SHSOLE 003317LILLY ELI & COCOM5324571085873969SHSOLE 003969LINDE PLCCOMG5494J103205862SHSOLE 00862LLOYDS BANKING GROUP PLCSPONSORED ADR5394391091511575SHSOLE 0011575LOCKHEED MARTIN CORPCOM53983010912713317SHSOLE 003317LOWES COS INCCOM54866110715119110SHSOLE 009110LULULEMON ATHLETICA INCCOM5500211095761748SHSOLE 001748MARATHON PETE CORPCOM56585A10243314753SHSOLE 0014753MARVELL TECHNOLOGY GROUP LTDORDG5876H10539810026SHSOLE 0010026MASTERCARD INCORPORATEDCL A57636Q10410052971SHSOLE 002971MCCORMICK & CO INCCOM NON VTG57978020610285298SHSOLE 005298MCDONALDS CORPCOM580135101223810198SHSOLE 0010198MEDICAL PPTYS TRUST INCCOM58463J30418310375SHSOLE 0010375MEDTRONIC PLCSHSG5960L1039559189SHSOLE 009189MERCADOLIBRE INCCOM58733R102622575SHSOLE 00575MERCK & CO INCCOM58933Y105140816976SHSOLE 0016976MICROSOFT CORPCOM594918104623929662SHSOLE 0029662MONDELEZ INTL INCCL A6092071052143730SHSOLE 003730MONOLITHIC PWR SYS INCCOM6098391053891393SHSOLE 001393NATIONAL CINEMEDIA INCCOM63530910713951284SHSOLE 0051284NATIONAL GRID PLCSPONSORED ADR NE6362744093025232SHSOLE 005232NATIONAL HEALTH INVS INCCOM63633D1042804654SHSOLE 004654NATIONAL HEALTHCARE CORPCOM6359061003114986SHSOLE 004986NETFLIX INCCOM64110L1068331666SHSOLE 001666NEXTERA ENERGY INCCOM65339F101286610325SHSOLE 0010325NIKE INCCL B6541061036134882SHSOLE 004882NORDSON CORPCOM6556631023491818SHSOLE 001818NORFOLK SOUTHERN CORPCOM6558441083591677SHSOLE 001677NOVO-NORDISK A SADR6701002052563692SHSOLE 003692NUCOR CORPCOM67034610550911347SHSOLE 0011347NUVEEN AMT FREE MUN CR INC FCOM67071L10689357041SHSOLE 0057041NUVEEN FLOATING RATE INCOMECOM67072T1082180262337SHSOLE 00262337NUVEEN FLTNG RTE INCM OPP FDCOM SHS6706EN1001590193902SHSOLE 00193902NUVEEN PFD & INCM SECURTIESCOM67072C10517519894SHSOLE 0019894NUVEEN QUALITY MUNCP INCOMECOM67066V10145431294SHSOLE 0031294NUVEEN REAL ESTATE INCOME FDCOM67071B10810013266SHSOLE 0013266NVIDIA CORPCOM67066G104292539SHSOLE 00539NXP SEMICONDUCTORS N VCOMN6596X1093793035SHSOLE 003035ONEOK INC NEWCOM68268010373228158SHSOLE 0028158OSI ETF TROSHARS FTSE US67110P407100227623SHSOLE 0027623PAYCHEX INCCOM7043261076187744SHSOLE 007744PAYPAL HLDGS INCCOM70450Y1036673386SHSOLE 003386PEARSON PLCSPONSORED ADR7050151059112777SHSOLE 0012777PEPSICO INCCOM713448108207714986SHSOLE 0014986PFIZER INCCOM717081103170546459SHSOLE 0046459PGIM GLOBAL SHORT DURATION HCOM69346J1062143161724SHSOLE 00161724PHILIP MORRIS INTL INCCOM7181721096248326SHSOLE 008326PICO HLDGS INCCOM NEW69336620535339400SHSOLE 0039400PIMCO DYNMIC CREDIT AND MRTCOM SHS72202D10622911421SHSOLE 0011421PIMCO ETF TRENHNCD LW DUR AC72201R7189639421SHSOLE 009421PIMCO ETF TRACTIVE BD ETF72201R775434538650SHSOLE 0038650PIMCO ETF TRENHAN SHRT MA AC72201R8332652602SHSOLE 002602PIMCO HIGH INCOME FDCOM SHS7220141079817891SHSOLE 0017891PLATINUM GROUP METALS LTDCOM72765Q8822010000SHSOLE 0010000POLARIS INDS INCCOM7310681023814040SHSOLE 004040PPG INDS INCCOM6935061073703030SHSOLE 003030PRICE T ROWE GROUP INCCOM74144T1087986227SHSOLE 006227PROCTER AND GAMBLE COCOM742718109325623426SHSOLE 0023426PROLOGIS INCCOM74340W1034884851SHSOLE 004851PROSHARES TRULTSHRT QQQ74347B24334036000SHSOLE 0036000PRUDENTIAL FINL INCCOM7443201022183428SHSOLE 003428QUALCOMM INCCOM747525103199416944SHSOLE 0016944REALTY INCOME CORPCOM756109104108417840SHSOLE 0017840REDFIN CORPCOM75737F10853910786SHSOLE 0010786REGIONS FINL CORP NEWCOM7591EP10080769954SHSOLE 0069954REPUBLIC SVCS INCCOM760759100134714427SHSOLE 0014427ROKU INCCOM CL A77543R1024032136SHSOLE 002136ROYAL BK CDA MONTREAL QUECOM780087102118816931SHSOLE 0016931RPM INTL INCCOM7496851033313993SHSOLE 003993SALESFORCE COM INCCOM79466L3022731087SHSOLE 001087SBA COMMUNICATIONS CORP NEWCL A78410G1048162563SHSOLE 002563SCHWAB STRATEGIC TRUS LRG CAP ETF8085242017649471SHSOLE 009471SCHWAB STRATEGIC TRUS LCAP GR ETF808524300424936892SHSOLE 0036892SCHWAB STRATEGIC TRUS DIVIDEND EQ8085247972925280SHSOLE 005280SCHWAB STRATEGIC TRSHT TM US TRES8085248623546875SHSOLE 006875SEABRIDGE GOLD INCCOM81191610528215000SHSOLE 0015000SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209199518915SHSOLE 0018915SELECT SECTOR SPDR TRSBI INT-FINL81369Y6052239248SHSOLE 009248SELECT SECTOR SPDR TRSBI INT-INDS81369Y704403152358SHSOLE 0052358SELECT SECTOR SPDR TRTECHNOLOGY81369Y803368631589SHSOLE 0031589SELECT SECTOR SPDR TRRL EST SEL SEC81369Y86074421084SHSOLE 0021084SELECT SECTOR SPDR TRSBI INT-UTILS81369Y8863015065SHSOLE 005065SERVICE CORP INTLCOM8175651045036119395SHSOLE 00119395SERVICENOW INCCOM81762P102447921SHSOLE 00921SHOPIFY INCCL A82509L107355347SHSOLE 00347SIRIUS XM HLDGS INCCOM82968B10327851802SHSOLE 0051802SKYWORKS SOLUTIONS INCCOM83088M1022531742SHSOLE 001742SMUCKER J M COCOM NEW8326964053903374SHSOLE 003374SNAP ON INCCOM833034101156410628SHSOLE 0010628SOUTHERN COCOM842587107412276028SHSOLE 0076028SPDR DOW JONES INDL AVRG ETFUT SER 178467X1094091473SHSOLE 001473SPDR GOLD TRUSTGOLD SHS78463V10715388685SHSOLE 008685SPDR INDEX SHS FDSPORTFOLIO EMG MK78463X509216559213SHSOLE 0059213SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X74950912896SHSOLE 0012896SPDR INDEX SHS FDSS&P EMKTSC ETF78463X7563006769SHSOLE 006769SPDR INDEX SHS FDSS&P INTL SMLCP78463X87192530460SHSOLE 0030460SPDR INDEX SHS FDSPORTFOLIO DEVLPD78463X88916929578560SHSOLE 00578560SPDR S&P 500 ETF TRTR UNIT78462F10328298447SHSOLE 008447SPDR SER TRBLOMBERG BRC INV78468R20010749351503SHSOLE 00351503SPDR SER TRICE BOFAML ETF78468R60664825636SHSOLE 0025636SPDR SER TRSPDR BLOOMBERG78468R6636757375SHSOLE 007375SPDR SER TRNUVEEN BLMBRG SR78468R7394438882SHSOLE 008882SPDR SER TRSSGA US LRG ETF78468R8045044652SHSOLE 004652SPDR SER TRPORTFOLIO SM ETF78468R8532773101273SHSOLE 00101273SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359230933518SHSOLE 0033518SPDR SERIES TRUSTPORTFOLIO LN COR78464A36794429707SHSOLE 0029707SPDR SERIES TRUSTPORTFOLIO INTRMD78464A37517268469747SHSOLE 00469747SPDR SERIES TRUSTBLOMBRG BRC EMRG78464A39163023986SHSOLE 0023986SPDR SERIES TRUSTPRTFLO S&P500 GW78464A40930596610568SHSOLE 00610568SPDR SERIES TRUSTPORTFOLIO SHORT78464A47450516110SHSOLE 0016110SPDR SERIES TRUSTPORTFOLIO AGRGTE78464A649398601293746SHSOLE 001293746SPDR SERIES TRUSTBLOMBRG BRC TIPS78464A656109935594SHSOLE 0035594SPDR SERIES TRUSTPORTFOLIO LN TSR78464A664129627722SHSOLE 0027722SPDR SERIES TRUSTPORTFOLIO TL STK78464A80513143321418SHSOLE 00321418SPDR SERIES TRUSTPORTFOLIO MD ETF78464A8479942304698SHSOLE 00304698SPDR SERIES TRUSTPORTFOLIO LR ETF78464A85414462367518SHSOLE 00367518SQUARE INCCL A8522341033171952SHSOLE 001952SSGA ACTIVE ETF TRGLOBL ALLO ETF78467V4002757067SHSOLE 007067SSGA ACTIVE TRSPDR DBLELN SHRT78470P2004058138SHSOLE 008138SSR MNG INCCOM78473010337320000SHSOLE 0020000STAG INDL INCCOM85254J1022799160SHSOLE 009160STANLEY BLACK & DECKER INCCOM8545021013041876SHSOLE 001876STARBUCKS CORPCOM855244109103912096SHSOLE 0012096STORE CAP CORPCOM862121100110140122SHSOLE 0040122SYSCO CORPCOM8718291074837759SHSOLE 007759TARGET CORPCOM87612E10612668043SHSOLE 008043TESLA INCCOM88160R10117264024SHSOLE 004024TEXAS INSTRS INCCOM88250810412999100SHSOLE 009100THERMO FISHER SCIENTIFIC INCCOM8835561029792218SHSOLE 002218TJX COS INC NEWCOM8725401094838681SHSOLE 008681TRANSOCEAN LTDREG SHSH8817H100911500SHSOLE 0011500TWITTER INCCOM90184L1023818553SHSOLE 008553TYLER TECHNOLOGIES INCCOM902252105313899SHSOLE 00899ULTA BEAUTY INCCOM90384S3032421081SHSOLE 001081UNION PAC CORPCOM90781810816128189SHSOLE 008189UNITED PARCEL SERVICE INCCL B9113121067494497SHSOLE 004497UNITEDHEALTH GROUP INCCOM91324P10218836040SHSOLE 006040V F CORPCOM918204108139819900SHSOLE 0019900VANECK VECTORS ETF TRFALLEN ANGEL HG92189F437229877270SHSOLE 0077270VANECK VECTORS ETF TRAMT FREE SHORT M92189F52825213950SHSOLE 0013950VANECK VECTORS ETF TRJP MORGAN MKTS92189H3002207149SHSOLE 007149VANGUARD BD INDEX FD INCINTERMED TERM9219378193133345SHSOLE 003345VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378356427279SHSOLE 007279VANGUARD GROUPDIV APP ETF921908844162612636SHSOLE 0012636VANGUARD INDEX FDSS&P 500 ETF SHS92290836323617673SHSOLE 007673VANGUARD INDEX FDSMID CAP ETF9229086297003969SHSOLE 003969VANGUARD INDEX FDSLARGE CAP ETF9229086374793062SHSOLE 003062VANGUARD INDEX FDSGROWTH ETF9229087366282759SHSOLE 002759VANGUARD INDEX FDSVALUE ETF9229087446185909SHSOLE 005909VANGUARD INDEX FDSSMALL CP ETF9229087512621704SHSOLE 001704VANGUARD INDEX FDSTOTAL STK MKT922908769188211052SHSOLE 0011052VANGUARD INTL EQUITY INDEX FALLWRLD EX US9220427756081120537SHSOLE 00120537VANGUARD SCOTTSDALE FDSSHORT TERM TREAS92206C1023746025SHSOLE 006025VANGUARD SCOTTSDALE FDSLONG TERM TREAS92206C8472982986SHSOLE 002986VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C8703703862SHSOLE 003862VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF9219438582395840SHSOLE 005840VANGUARD WORLD FDEXTENDED DUR9219107092951781SHSOLE 001781VANGUARD WORLD FDESG INTL STK ETF9219107252805425SHSOLE 005425VANGUARD WORLD FDESG US STK ETF9219107333746054SHSOLE 006054VANGUARD WORLD FDSCONSUM DIS ETF92204A1083681567SHSOLE 001567VERISK ANALYTICS INCCOM92345Y1064682525SHSOLE 002525VERIZON COMMUNICATIONS INCCOM92343V104335056315SHSOLE 0056315VISA INCCOM CL A92826C83915677838SHSOLE 007838W P CAREY INCCOM92936U1096059281SHSOLE 009281WALGREENS BOOTS ALLIANCE INCCOM93142710843912223SHSOLE 0012223WALMART INCCOM931142103272919503SHSOLE 0019503WASTE MGMT INC DELCOM94106L1093172805SHSOLE 002805WATSCO INCCOM9426222008443625SHSOLE 003625WEC ENERGY GROUP INCCOM92939U106144314887SHSOLE 0014887WELLS FARGO CO NEWCOM94974610165928026SHSOLE 0028026WEST PHARMACEUTICAL SVSC INCCOM9553061054731721SHSOLE 001721WESTERN ASSET HIGH INCM OPPCOM95766K1092156440018SHSOLE 00440018WILLIAMS SONOMA INCCOM9699041017508293SHSOLE 008293WISDOMTREE TREMG MKTS SMCAP97717W2812826819SHSOLE 006819WISDOMTREE TRUS MIDCAP DIVID97717W50541214243SHSOLE 0014243WISDOMTREE TRUS EARNINGS 50097717W58892125990SHSOLE 0025990WISDOMTREE TRINTL SMCAP DIV97717W7602644404SHSOLE 004404WISDOMTREE TRFNDMTL HGH YLD97717X17255111015SHSOLE 0011015WISDOMTREE TRYIELD ENHANCD US97717X51118868350573SHSOLE 00350573WISDOMTREE TREM EX ST-OWNED97717X578142242222SHSOLE 0042222WISDOMTREE TRFLOATNG RAT TREA97717X62831712635SHSOLE 0012635WISDOMTREE TRUS QTLY DIV GRT97717X66949910063SHSOLE 0010063WISDOMTREE TRINTK MLTIFACTR97717Y7742289528SHSOLE 009528WISDOMTREE TRUS MULTIFACTOR97717Y85748715547SHSOLE 0015547XCEL ENERGY INCCOM98389B100141620513SHSOLE 0020513YAMANA GOLD INCCOM98462Y10011420073SHSOLE 0020073YANDEX N VSHS CLASS AN972841083355137SHSOLE 005137YUM BRANDS INCCOM9884981012062257SHSOLE 002257