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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

HERNDON CAPITAL MANAGEMENT, LLC

CRD 113538

ATLANTA, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0a2b1a2f-53a3-ba65-8cdd-ff2c6ccf9bba

Data as of Nov 16, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Nov 16, 2017
22 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.1BItem 5.F on the latest filing (2017-11-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $779M
Private client RAUM: $122,501derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 305
SEC number: 801-60473
CRD: 113538
Filings on the tape: 22
First filed: Mar 27, 2012
Latest filed: Nov 16, 2017
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALONZO F. AND NORRIS B. HERNDON FOUNDATION, INC.	COMMON STOCKHOLDER	D	yes	05/2001	Mar 27, 2012	Nov 16, 2017
ATLANTA LIFE FINANCIAL GROUP	COMMON STOCKHOLDER	E	yes	07/2009	Mar 27, 2012	Nov 16, 2017
ATLANTA LIFE INVESTMENT ADVISORS, INC.	COMMON STOCKHOLDER	D	yes	07/2009	Mar 27, 2012	Nov 16, 2017
CAIN, RANDELL, ALFREDINE	EXECUTIVE COMMITTEE MEMBER/PRINCIPAL	B	yes	06/2002	Mar 27, 2012	Nov 16, 2017
HOLLEY, KENNETH, RICHARD	EXECUTIVE COMMITTEE MEMBER/CHIEF INVESTMENT OFFICER/PRINCIPAL/CHIEF COMPLIANCE OFFICER	B	yes	01/2002	Mar 27, 2012	Nov 16, 2017

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Feb 10, 2017	$842M	$842M	20	8	n/a	n/a	n/a
2015	Mar 22, 2016	$5.1B	$5.1B	42	12	n/a	n/a	n/a
2014	Mar 30, 2015	$8.0B	$8.0B	47	14	n/a	n/a	n/a
2013	Mar 20, 2014	$8.7B	$8.7B	44	11	n/a	n/a	n/a
2012	Mar 22, 2013	$6.7B	$6.4B	39	9	n/a	n/a	n/a
2011	Mar 27, 2012	$5.2B	$5.0B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$1.1B	$5.1B	-78.8%	$8.7B	-50.0%	8	42	1	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GLOBALT INVESTMENTS	2	Jul 28, 2016	Apr 26, 2022	ATLANTA, GA	Team lift out	Other	40.0%

Relationships

Controls (5)

← HOLLEY, KENNETH, RICHARDOwnerEXECUTIVE COMMITTEE MEMBER/CHIEF INVESTMENT OFFICER/PRINCIPAL/CHIEF COMPLIANCE OFFICER, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← CAIN, RANDELL, ALFREDINEOwnerEXECUTIVE COMMITTEE MEMBER/PRINCIPAL, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← ALONZO F. AND NORRIS B. HERNDON FOUNDATION, INC.OwnerCOMMON STOCKHOLDER, ownership code D, domestic entity
Mar 27, 2012 to presentfactForm ADV
← ATLANTA LIFE FINANCIAL GROUPOwnerCOMMON STOCKHOLDER, ownership code E, domestic entity
Mar 27, 2012 to presentfactForm ADV
← ATLANTA LIFE INVESTMENT ADVISORS, INC.OwnerCOMMON STOCKHOLDER, ownership code D, domestic entity
Mar 27, 2012 to presentfactForm ADV

Moved with (1)

→ GLOBALT INVESTMENTSRegistered adviser2 advisors, team lift out
Jul 28, 2016 to Apr 26, 2022factForm ADV

Registered with (6)

← KENNETH RICHARD HOLLEYAdvisorregistration: previous registration
May 5, 2003 to Dec 21, 2017factForm ADV
← RANDELL ALFREDINE CAINAdvisorregistration: previous registration
May 5, 2003 to Dec 21, 2017factForm ADV
← MATTHEW B CARNEYAdvisorregistration: previous registration
Jul 21, 2017 to Oct 24, 2017factForm ADV
← DRAKE JOHN CRAIGAdvisorregistration: previous registration
May 5, 2003 to Aug 9, 2016factForm ADV
← ANNETTE MICHELLE MARSHALLAdvisorregistration: previous registration
Feb 6, 2006 to Jul 28, 2016factForm ADV
← MARC OTHA SYDNORAdvisorregistration: previous registration
May 16, 2008 to Jul 28, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a2b1a2f-53a3-ba65-8cdd-ff2c6ccf9bba
First observed: Mar 27, 2012
Last observed: Nov 16, 2017 107 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HERNDON CAPITAL MANAGEMENT, LLC

CRD 113538

ATLANTA, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0a2b1a2f-53a3-ba65-8cdd-ff2c6ccf9bba

Data as of Nov 16, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALONZO F. AND NORRIS B. HERNDON FOUNDATION, INC.

COMMON STOCKHOLDER

yes

05/2001

Mar 27, 2012

Nov 16, 2017

ATLANTA LIFE FINANCIAL GROUP

COMMON STOCKHOLDER

yes

07/2009

Mar 27, 2012

Nov 16, 2017

ATLANTA LIFE INVESTMENT ADVISORS, INC.

COMMON STOCKHOLDER

yes

07/2009

Mar 27, 2012

Nov 16, 2017

CAIN, RANDELL, ALFREDINE

EXECUTIVE COMMITTEE MEMBER/PRINCIPAL

yes

06/2002

Mar 27, 2012

Nov 16, 2017

HOLLEY, KENNETH, RICHARD

EXECUTIVE COMMITTEE MEMBER/CHIEF INVESTMENT OFFICER/PRINCIPAL/CHIEF COMPLIANCE OFFICER

yes

01/2002

Mar 27, 2012

Nov 16, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Feb 10, 2017

$842M

n/a

2015

Mar 22, 2016

$5.1B

n/a

2014

Mar 30, 2015

$8.0B

n/a

2013

Mar 20, 2014

$8.7B

n/a

2012

Mar 22, 2013

$6.7B

$6.4B

n/a

2011

Mar 27, 2012

$5.2B

$5.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$1.1B

$5.1B

-78.8%

$8.7B

-50.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBALT INVESTMENTS

Jul 28, 2016

Apr 26, 2022

ATLANTA, GA

Team lift out

Other

40.0%