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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

COLONIAL RIVER WEALTH MANAGEMENT LLC

COLONIAL RIVER INVESTMENTS, LLC, CRD 284839

MIDLOTHIAN, 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:287e3f17-b84d-96ea-940f-53500bec21a2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 9
On other graphs: 0
Observed: Sep 6, 2016 to Mar 31, 2026
43 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=9.0
Regulatory AUM: $464MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $464M
Private client RAUM: $464MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $58.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 21
Advisory employees: 8
Offices: 7Schedule D 1.F, beyond the principal office
Accounts: 1,799
Individual clients: 1,624
High net worth clients: 174
SEC number: 801-113243
CIK: 1845859
CRD: 284839
Filings on the tape: 43
First filed: Sep 6, 2016
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, VA
Website: colonialriver.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOHN DONALD ROBERTSON	n/a	Newport News, VA \| MIDLOTHIAN, VA \| Williamsburg, VA	9	42	1	yes
DEVIN J GAROFALO	n/a	MIDLOTHIAN, VA \| Newport News, VA \| Williamsburg, VA	9	20	4	yes
ALAN TORRENCE DAWKINS	Certified Financial Planner	Newport News, VA \| MIDLOTHIAN, VA	8	28	1	yes
STEVEN GARY PRESTYLY	n/a	MIDLOTHIAN, VA	8	31	2	yes
ALEX ETHAN HENDRICKSON	n/a	MIDLOTHIAN, VA \| Newport News, VA \| Williamsburg, VA	8	24	2	yes
CATHERINE ANNE BELANGER	Certified Financial Planner	MIDLOTHIAN, VA	5	26	n/a	yes
MERRICK GREEN BURLESON	n/a	PALMYRA, VA \| MIDLOTHIAN, VA	5	31	1	yes
Brian Michael Wotring	n/a	MIDLOTHIAN, VA	2	12	1	yes

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
GAROFALO, DEVIN, J	MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	10/2016	Oct 26, 2016	Mar 4, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
COLONIAL RIVER FINANCIAL, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEWPORT NEWS	Va	United States	3	yes
Fredericksburg	Va	United States	1	yes
NEWPORT NEWS	Va	United States	1	yes
Williamsburg	Va	United States	1	yes
n/a	n/a	n/a	1	yes

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; showing 8 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$464M	$464M	21	8	7	n/a	n/a
2024	Apr 24, 2025	$340M	$340M	16	8	6	n/a	n/a
2023	Mar 4, 2024	$275M	$275M	16	9	6	n/a	n/a
2022	Mar 17, 2023	$586M	$330M	21	13	6	n/a	n/a
2021	Mar 30, 2022	$484M	$346M	23	14	4	n/a	n/a
2020	Mar 30, 2021	$294M	$279M	20	13	4	n/a	n/a
2019	Mar 27, 2020	$174M	$159M	21	13	6	n/a	n/a
2018	Mar 21, 2019	$136M	$136M	34	19	4	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

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
2025	$464M	$340M	36.6%	$586M	-7.5%	21	16	7	6

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
LPL FINANCIAL LLC	2	Jul 7, 2023	Aug 7, 2023	MIDLOTHIAN, VA	Team lift out	RIA to ibd	22.2%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Jun 12, 2020	Jun 12, 2020	WILLIAMSBURG, VA	Team lift out	Ibd to RIA	0.0%
OSAIC FA, INC.	2	Nov 1, 2016	Oct 28, 2016	MIDLOTHIAN, VA	Team lift out	Other	0.2%

Relationships

Registered with (18)

← Brian Michael WotringAdvisorregistration: current employment
Dec 1, 2023 to presentfactForm ADV
← MERRICK GREEN BURLESONAdvisorregistration: current employment
May 6, 2021 to presentfactForm ADV
← CATHERINE ANNE BELANGERAdvisorregistration: current employment
Jan 6, 2021 to presentfactForm ADV
← ALEX ETHAN HENDRICKSONAdvisorregistration: current employment
May 26, 2018 to presentfactForm ADV
← STEVEN GARY PRESTYLYAdvisorregistration: current employment
Nov 30, 2017 to presentfactForm ADV
← ALAN TORRENCE DAWKINSAdvisorregistration: current employment
Nov 17, 2017 to presentfactForm ADV
← JOHN DONALD ROBERTSONAdvisorregistration: current employment
Oct 28, 2016 to presentfactForm ADV
← DEVIN J GAROFALOAdvisorregistration: current employment
Oct 28, 2016 to presentfactForm ADV
← RICHARD DURANT ADAMSAdvisorregistration: previous registration
Apr 21, 2017 to Jul 7, 2023factForm ADV
← REBECCA ADAMS HOLLISAdvisorregistration: previous registration
Sep 27, 2021 to Jul 7, 2023factForm ADV
← Blake Points HicksAdvisorregistration: previous registration
Jun 12, 2020 to May 15, 2023factForm ADV
← DEVIN ANTHONY PALMESEAdvisorregistration: previous registration
Oct 28, 2016 to Nov 2, 2020factForm ADV
← DOUGLAS EDWARD JONESAdvisorregistration: previous registration
Nov 17, 2017 to Jul 20, 2020factForm ADV
← JAYNE WAIDA DI VINCENZOAdvisorregistration: previous registration
Jun 12, 2020 to Jul 15, 2020factForm ADV
← JONATHAN LEIF HOLLJESAdvisorregistration: previous registration
Dec 8, 2016 to May 6, 2020factForm ADV
← Nicole Tarlton ColeAdvisorregistration: previous registration
Aug 8, 2017 to Jan 16, 2020factForm ADV
← KEVIN ALEXANDER MAUTTEAdvisorregistration: previous registration
Dec 13, 2017 to Dec 18, 2019factForm ADV
← MICHAEL EDWARD SHELTONAdvisorregistration: previous registration
May 22, 2019 to Dec 18, 2019factForm ADV

Controls (1)

← GAROFALO, DEVIN, JOwnerMEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 26, 2016 to Mar 4, 2024factForm ADV

Moved with (3)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Jul 7, 2023 to Aug 7, 2023factForm ADV
← LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Jun 12, 2020 to Jun 12, 2020factForm ADV
← OSAIC FA, INC.Registered adviser2 advisors, team lift out
Nov 1, 2016 to Oct 28, 2016factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Colonial River Wealth Management Llc reported RAUM $464.4M, up 37% from $339.8M (2026-01-22 to 2026-03-31)
Form ADVobserved 6 days ago
$125M
Occurred
Mar 4, 2024
Regulatory AUM changed
Colonial River Wealth Management Llc reported RAUM $274.6M, down 53% from $586.5M (2023-09-29 to 2024-03-04)
Form ADVobserved 6 days ago
$-312M
Occurred
Jul 7, 2023
Team lift-out
2 advisors left Colonial River Wealth Management LLC (Midlothian, VA) for LPL Financial LLC on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Jul 7, 2023
Advisor changed firm
Rebecca Adams Hollis left Colonial River Wealth Management Llc for Lpl Financial Llc (registered 2023-07-31)
Form ADVobserved 6 days ago
Occurred
Jul 7, 2023
Advisor changed firm
Richard Durant Adams left Colonial River Wealth Management Llc for Lpl Financial Llc (registered 2023-08-07)
Form ADVobserved 6 days ago
Occurred
May 15, 2023
Advisor changed firm
Blake Points Hicks left Colonial River Wealth Management Llc for Commonwealth Financial Network (registered 2023-04-26)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Colonial River Wealth Management Llc reported RAUM $484.0M, up 65% from $293.6M (2021-10-01 to 2022-03-30)
Form ADVobserved 6 days ago
$190M
Occurred
Mar 30, 2021
Regulatory AUM changed
Colonial River Wealth Management Llc reported RAUM $293.6M, up 69% from $174.1M (2020-11-16 to 2021-03-30)
Form ADVobserved 6 days ago
$119M
Occurred
Apr 17, 2018
First Form ADV filing
Colonial River Investments, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:287e3f17-b84d-96ea-940f-53500bec21a2
First observed: Sep 6, 2016
Last observed: Mar 31, 2026 5 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.

COLONIAL RIVER WEALTH MANAGEMENT LLC

COLONIAL RIVER INVESTMENTS, LLC, CRD 284839

MIDLOTHIAN, 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:287e3f17-b84d-96ea-940f-53500bec21a2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN DONALD ROBERTSON

n/a

Newport News, VA | MIDLOTHIAN, VA | Williamsburg, VA

yes

DEVIN J GAROFALO

n/a

MIDLOTHIAN, VA | Newport News, VA | Williamsburg, VA

yes

ALAN TORRENCE DAWKINS

Certified Financial Planner

Newport News, VA | MIDLOTHIAN, VA

yes

STEVEN GARY PRESTYLY

n/a

MIDLOTHIAN, VA

yes

ALEX ETHAN HENDRICKSON

n/a

MIDLOTHIAN, VA | Newport News, VA | Williamsburg, VA

yes

CATHERINE ANNE BELANGER

Certified Financial Planner

MIDLOTHIAN, VA

n/a

yes

MERRICK GREEN BURLESON

n/a

PALMYRA, VA | MIDLOTHIAN, VA

yes

Brian Michael Wotring

n/a

MIDLOTHIAN, VA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GAROFALO, DEVIN, J

MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

10/2016

Oct 26, 2016

Mar 4, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

COLONIAL RIVER FINANCIAL, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEWPORT NEWS

United States

yes

Fredericksburg

United States

yes

NEWPORT NEWS

United States

yes

Williamsburg

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$464M

n/a

2024

Apr 24, 2025

$340M

n/a

2023

Mar 4, 2024

$275M

n/a

2022

Mar 17, 2023

$586M

$330M

n/a

2021

Mar 30, 2022

$484M

$346M

n/a

2020

Mar 30, 2021

$294M

$279M

n/a

2019

Mar 27, 2020

$174M

$159M

n/a

2018

Mar 21, 2019

$136M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$464M

$340M

36.6%

$586M

-7.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jul 7, 2023

Aug 7, 2023

MIDLOTHIAN, VA

Team lift out

RIA to ibd

22.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jun 12, 2020

WILLIAMSBURG, VA

Team lift out

Ibd to RIA

0.0%

OSAIC FA, INC.

Nov 1, 2016

Oct 28, 2016

MIDLOTHIAN, VA

Team lift out

Other

0.2%