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

PALLADIUM REGISTERED INVESTMENT ADVISORS

PALLADIUM PARTNERS, LLC, CRD 145076

NORFOLK, VA

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:17b40ab5-43b2-ddad-8d09-0fefaab8c7c2

Data as of Mar 28, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 16
On other graphs: 0
Observed: Dec 21, 2011 to Mar 28, 2022
35 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: $3.4BItem 5.F on the latest filing (2022-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.3B
Private client RAUM: $3.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 31
Advisory employees: 13
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,579
Individual clients: 477
High net worth clients: 622
Custody, client assets: $1.9B
SEC number: 801-68408
CRD: 145076
Filings on the tape: 35
First filed: Dec 21, 2011
Latest filed: Mar 28, 2022
Organised: Limited Liability Company, Virginia

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
DISHAROON, MICHAEL, PRESTON	Director	A	yes	01/2018	Mar 28, 2018	Mar 28, 2022
HARRIS, HENRY, UPHAM	Director	B	yes	01/2012	Dec 21, 2011	Mar 28, 2022
IZARD, JAMES, JOHNSTON	Director	C	yes	01/2012	Dec 21, 2011	Mar 28, 2022
TAYLOR, JONATHAN, LEE	Director	Na	yes	01/2019	May 8, 2019	Mar 28, 2022
TOPPING, JUSTIN, ALLEN	Director	Na	yes	01/2021	Jun 21, 2021	Mar 28, 2022
WILLIS, KATHERINE, CLAY	Director	C	yes	01/2012	Dec 21, 2011	Mar 28, 2022
HORNER, WILLIAM, WHIDDEN	CHIEF FINANCIAL OFFICER	Na	no	12/2017	Jan 9, 2017	Mar 28, 2022
POTTER, KRISTEN, MARIE	CHIEF OPERATING OFFICER	Na	no	01/2012	Mar 22, 2012	Mar 28, 2022
RENSHAW, NANCY, ELIZABETH	CHIEF COMPLIANCE OFFICER	Na	no	04/2009	Dec 21, 2011	Mar 28, 2022
ROBINETT, RHONDA, WADSWORTH	CHIEF ADMINISTRATIVE OFFICER	Na	no	01/2012	Mar 22, 2012	Mar 28, 2022

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
2021	Mar 28, 2022	$3.4B	$3.3B	31	13	0	n/a	n/a
2020	Mar 31, 2021	$2.8B	$2.7B	32	13	0	n/a	n/a
2019	Mar 30, 2020	$2.5B	$2.5B	29	11	0	n/a	n/a
2018	Mar 27, 2019	$2.2B	$2.1B	29	11	0	n/a	n/a
2017	Mar 28, 2018	$2.2B	$2.2B	27	10	0	n/a	n/a
2016	Mar 23, 2017	$2.0B	$1.9B	27	11	n/a	n/a	n/a
2015	Mar 30, 2016	$1.8B	$1.8B	26	12	n/a	n/a	n/a
2014	Mar 27, 2015	$1.8B	$1.8B	25	10	n/a	n/a	n/a
2013	Mar 28, 2014	$1.7B	$1.7B	24	10	n/a	n/a	n/a
2012	Mar 1, 2013	$1.4B	$1.4B	22	8	n/a	n/a	n/a
2011	Mar 22, 2012	$1.3B	$1.3B	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
2021	$3.4B	$2.8B	20.9%	$2.2B	16.0%	31	32	0	0

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
CERITY PARTNERS LLC	12	Sep 2, 2022	May 3, 2024	NORFOLK, VA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (6)

← WILLIS, KATHERINE, CLAYOwnerDIRECTOR, ownership code C, individual
Dec 21, 2011 to presentfactForm ADV
← IZARD, JAMES, JOHNSTONOwnerDIRECTOR, ownership code C, individual
Dec 21, 2011 to presentfactForm ADV
← DISHAROON, MICHAEL, PRESTONOwnerDIRECTOR, ownership code A, individual
Mar 28, 2018 to presentfactForm ADV
← TAYLOR, JONATHAN, LEEOwnerDIRECTOR, ownership code NA, individual
May 8, 2019 to presentfactForm ADV
← TOPPING, JUSTIN, ALLENOwnerDIRECTOR, ownership code NA, individual
Jun 21, 2021 to presentfactForm ADV
← HARRIS, HENRY, UPHAMOwnerDIRECTOR, ownership code B, individual
Dec 21, 2011 to presentfactForm ADV

Owns (4)

← RENSHAW, NANCY, ELIZABETHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← ROBINETT, RHONDA, WADSWORTHOwnerCHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← HORNER, WILLIAM, WHIDDENOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 9, 2017 to presentfactForm ADV
← POTTER, KRISTEN, MARIEOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV

Moved with (1)

→ CERITY PARTNERS LLCRegistered adviser12 advisors, firm absorbed, same day
Sep 2, 2022 to May 3, 2024factForm ADV

Registered with (13)

← KATHERINE CLAY WILLISAdvisorregistration: previous registration
Jan 28, 2008 to Sep 2, 2022factForm ADV
← JONATHAN EDWARD MORRISAdvisorregistration: previous registration
Jun 19, 2008 to Sep 2, 2022factForm ADV
← JAMES JOHNSTON IZARDAdvisorregistration: previous registration
Jan 28, 2008 to Sep 2, 2022factForm ADV
← ELIZABETH A DELUDEAdvisorregistration: previous registration
Sep 21, 2020 to Sep 2, 2022factForm ADV
← MICHAEL PRESTON DISHAROONAdvisorregistration: previous registration
Jun 18, 2012 to Sep 2, 2022factForm ADV
← WALKER WINFREE PHILLIPSAdvisorregistration: previous registration
Oct 8, 2015 to Sep 2, 2022factForm ADV
← JONATHAN LEE TAYLORAdvisorregistration: previous registration
Oct 8, 2013 to Sep 2, 2022factForm ADV
← JUSTIN ALLEN TOPPINGAdvisorregistration: previous registration
Oct 1, 2013 to Sep 2, 2022factForm ADV
← Wickliffe Sanford LyneAdvisorregistration: previous registration
Sep 25, 2020 to Sep 2, 2022factForm ADV
← Meghan Ann CottrellAdvisorregistration: previous registration
May 27, 2022 to Sep 2, 2022factForm ADV
← Carl Darby KaufmanAdvisorregistration: previous registration
Apr 13, 2022 to Sep 2, 2022factForm ADV
← HENRY UPHAM HARRISAdvisorregistration: previous registration
Jan 28, 2008 to Sep 2, 2022factForm ADV
← Reed Pettit FosterAdvisorregistration: previous registration
Sep 16, 2015 to Apr 18, 2017factForm ADV

Dated events

Occurred
Sep 2, 2022
Firm absorbed
Palladium Registered Investment Advisors's advisors moved to Cerity Partners LLC (Norfolk, VA): 12 of 12 registered, on the same day
Form ADVobserved 4 days ago
12 advisors
Occurred
Sep 2, 2022
Advisor changed firm
Wickliffe Sanford Lyne left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-09)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Jonathan Lee Taylor left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-17)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Katherine Clay Willis left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-14)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Justin Allen Topping left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-09)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Meghan Ann Cottrell left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2024-05-03)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Carl Darby Kaufman left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-29)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Jonathan Edward Morris left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-17)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
James Johnston Izard left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-14)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Henry Upham Harris left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-14)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Michael Preston Disharoon left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-14)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Elizabeth A Delude left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-17)
Form ADVobserved 4 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Walker Winfree Phillips left Palladium Registered Investment Advisors for Cerity Partners Llc (registered 2022-06-17)
Form ADVobserved 4 days ago
Occurred
Jun 21, 2021
Control person joined
Allen Justin Topping (Director) appeared on Schedule A of Palladium Registered Investment Advisors
Form ADVobserved 4 days ago
Occurred
Jan 7, 2020
Control person left
Barksdale Dickinson Phillips (Director) no longer on Schedule A of Palladium Registered Investment Advisors (listed 2019-05-08, absent 2020-01-07)
Form ADVobserved 4 days ago
Occurred
May 8, 2019
Control person joined
Lee Jonathan Taylor (Director) appeared on Schedule A of Palladium Registered Investment Advisors
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17b40ab5-43b2-ddad-8d09-0fefaab8c7c2
First observed: Dec 21, 2011
Last observed: Mar 28, 2022 54 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.

PALLADIUM REGISTERED INVESTMENT ADVISORS

PALLADIUM PARTNERS, LLC, CRD 145076

NORFOLK, VA

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:17b40ab5-43b2-ddad-8d09-0fefaab8c7c2

Data as of Mar 28, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DISHAROON, MICHAEL, PRESTON

Director

yes

01/2018

Mar 28, 2018

Mar 28, 2022

HARRIS, HENRY, UPHAM

Director

yes

01/2012

Dec 21, 2011

Mar 28, 2022

IZARD, JAMES, JOHNSTON

Director

yes

01/2012

Dec 21, 2011

Mar 28, 2022

TAYLOR, JONATHAN, LEE

Director

yes

01/2019

May 8, 2019

Mar 28, 2022

TOPPING, JUSTIN, ALLEN

Director

yes

01/2021

Jun 21, 2021

Mar 28, 2022

WILLIS, KATHERINE, CLAY

Director

yes

01/2012

Dec 21, 2011

Mar 28, 2022

HORNER, WILLIAM, WHIDDEN

CHIEF FINANCIAL OFFICER

12/2017

Jan 9, 2017

Mar 28, 2022

POTTER, KRISTEN, MARIE

CHIEF OPERATING OFFICER

01/2012

Mar 22, 2012

Mar 28, 2022

RENSHAW, NANCY, ELIZABETH

CHIEF COMPLIANCE OFFICER

04/2009

Dec 21, 2011

Mar 28, 2022

ROBINETT, RHONDA, WADSWORTH

CHIEF ADMINISTRATIVE OFFICER

01/2012

Mar 22, 2012

Mar 28, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 28, 2022

$3.4B

$3.3B

n/a

2020

Mar 31, 2021

$2.8B

$2.7B

n/a

2019

Mar 30, 2020

$2.5B

n/a

2018

Mar 27, 2019

$2.2B

$2.1B

n/a

2017

Mar 28, 2018

$2.2B

n/a

2016

Mar 23, 2017

$2.0B

$1.9B

n/a

2015

Mar 30, 2016

$1.8B

n/a

2014

Mar 27, 2015

$1.8B

n/a

2013

Mar 28, 2014

$1.7B

n/a

2012

Mar 1, 2013

$1.4B

n/a

2011

Mar 22, 2012

$1.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$3.4B

$2.8B

20.9%

$2.2B

16.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CERITY PARTNERS LLC

Sep 2, 2022

May 3, 2024

NORFOLK, VA

Firm absorbed

RIA to RIA

100.0%