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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HOLDERNESS INVESTMENTS CO

CRD 106530

GREENSBORO, NC

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:36c9b64e-8a76-2255-58e0-0c5a79ef9081

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2011 to Mar 30, 2026
26 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=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $661MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $642M
Private client RAUM: $613MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $110Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 6
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 778
Individual clients: 231
High net worth clients: 93
Custody, client assets: $273M
SEC number: 801-49875
CRD: 106530
Filings on the tape: 26
First filed: Dec 5, 2011
Latest filed: Mar 30, 2026
Organised: Corporation, NC
Website: holdernessinvestments.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
KIM CUMMINGS EDER	Chartered Financial Analyst	Greensboro, NC	24	31	n/a	no
RICHARD THURSTON HOLDERNESS	Chartered Financial Analyst	Greensboro, NC	16	31	n/a	no
KENNETH JOSEPH SHAHBAZ	Certified Financial Planner\|Personal Financial Specialist	Greensboro, NC	9	28	2	no
SHEILA MAY FALLS	Certified Financial Planner\|Personal Financial Specialist	Advance, NC \| Greensboro, NC	8	15	4	no
JONATHAN MICHAEL MORGAN	Chartered Financial Analyst	Charlotte, NC \| GREENSBORO, NC	2	29	2	no
RYAN MICHAEL VAUDRIN	Certified Financial Planner	GREENSBORO, NC \| Charlotte, NC	2	13	2	no

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
EDER, KIM, CUMMINGS	VICE-PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	03/2004	Dec 5, 2011	Aug 23, 2024
HOLDERNESS, RICHARD, THURSTON	President	E	yes	08/1995	Dec 5, 2011	Aug 23, 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
HOLDERNESS ASSET SOLUTIONS 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
Charlotte	Nc	United States	1	no
Greensboro	Nc	United States	1	no
n/a	n/a	n/a	1	no

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
2025	Mar 30, 2026	$661M	$642M	8	6	3	n/a	n/a
2024	Mar 26, 2025	$621M	$597M	8	6	3	n/a	n/a
2023	Mar 25, 2024	$511M	$486M	6	4	3	n/a	n/a
2022	Mar 30, 2023	$347M	$327M	6	4	1	n/a	n/a
2021	Mar 18, 2022	$434M	$417M	6	4	1	n/a	n/a
2020	Mar 26, 2021	$347M	$340M	6	4	1	n/a	n/a
2019	Mar 25, 2020	$313M	$306M	6	4	1	n/a	n/a
2018	Mar 27, 2019	$258M	$256M	6	4	1	n/a	n/a
2017	Mar 19, 2018	$264M	$264M	5	4	1	n/a	n/a
2016	Mar 22, 2017	$250M	$242M	7	5	n/a	n/a	n/a
2015	Mar 21, 2016	$116M	$112M	5	3	n/a	n/a	n/a
2014	Mar 13, 2015	$124M	$123M	5	3	n/a	n/a	n/a
2013	Mar 24, 2014	$115M	$115M	5	3	n/a	n/a	n/a
2012	Mar 21, 2013	$97.7M	$97.3M	5	3	n/a	n/a	n/a
2011	Mar 28, 2012	$96.8M	$96.2M	n/a	n/a	n/a	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	2	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	$661M	$621M	6.4%	$347M	24.0%	8	8	3	3

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KESTRA ADVISORY SERVICES, LLC	2	Jan 27, 2017	Jan 26, 2017	GREENSBORO, NC	Team lift out	Other	0.2%

Relationships

Registered with (7)

← RYAN MICHAEL VAUDRINAdvisorregistration: current employment
Aug 25, 2024 to presentfactForm ADV
← JONATHAN MICHAEL MORGANAdvisorregistration: current employment
Feb 23, 2024 to presentfactForm ADV
← SHEILA MAY FALLSAdvisorregistration: previous registration
Jan 26, 2017 to Jun 30, 2017factForm ADV
← KENNETH JOSEPH SHAHBAZAdvisorregistration: current employment
Jan 26, 2017 to presentfactForm ADV
← RICHARD THURSTON HOLDERNESSAdvisorregistration: current employment
Oct 28, 2009 to presentfactForm ADV
← KIM CUMMINGS EDERAdvisorregistration: current employment
Dec 31, 2001 to presentfactForm ADV
← Charles F FreemanAdvisorregistration: previous registration
Apr 19, 2011 to May 18, 2017factForm ADV

Controls (2)

← HOLDERNESS, RICHARD, THURSTONOwnerPRESIDENT, ownership code E, individual
Dec 5, 2011 to Aug 23, 2024factForm ADV
← EDER, KIM, CUMMINGSOwnerVICE-PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Dec 5, 2011 to Aug 23, 2024factForm ADV

Moved with (1)

← KESTRA ADVISORY SERVICES, LLCRegistered adviser2 advisors, team lift out, same day
Jan 27, 2017 to Jan 26, 2017factForm ADV

Dated events

Occurred
Mar 25, 2024
Regulatory AUM changed
Holderness Investments Co reported RAUM $510.8M, up 47% from $346.7M (2023-11-01 to 2024-03-25)
Form ADVobserved 6 days ago
$164M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:36c9b64e-8a76-2255-58e0-0c5a79ef9081
First observed: Dec 5, 2011
Last observed: Mar 30, 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.

HOLDERNESS INVESTMENTS CO

CRD 106530

GREENSBORO, NC

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:36c9b64e-8a76-2255-58e0-0c5a79ef9081

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:09 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KIM CUMMINGS EDER

Chartered Financial Analyst

Greensboro, NC

n/a

RICHARD THURSTON HOLDERNESS

Chartered Financial Analyst

Greensboro, NC

n/a

KENNETH JOSEPH SHAHBAZ

Certified Financial Planner|Personal Financial Specialist

Greensboro, NC

SHEILA MAY FALLS

Certified Financial Planner|Personal Financial Specialist

Advance, NC | Greensboro, NC

JONATHAN MICHAEL MORGAN

Chartered Financial Analyst

Charlotte, NC | GREENSBORO, NC

RYAN MICHAEL VAUDRIN

Certified Financial Planner

GREENSBORO, NC | Charlotte, NC

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EDER, KIM, CUMMINGS

VICE-PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

03/2004

Dec 5, 2011

Aug 23, 2024

HOLDERNESS, RICHARD, THURSTON

President

yes

08/1995

Dec 5, 2011

Aug 23, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HOLDERNESS ASSET SOLUTIONS LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Charlotte

United States

Greensboro

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$661M

$642M

n/a

2024

Mar 26, 2025

$621M

$597M

n/a

2023

Mar 25, 2024

$511M

$486M

n/a

2022

Mar 30, 2023

$347M

$327M

n/a

2021

Mar 18, 2022

$434M

$417M

n/a

2020

Mar 26, 2021

$347M

$340M

n/a

2019

Mar 25, 2020

$313M

$306M

n/a

2018

Mar 27, 2019

$258M

$256M

n/a

2017

Mar 19, 2018

$264M

n/a

2016

Mar 22, 2017

$250M

$242M

n/a

2015

Mar 21, 2016

$116M

$112M

n/a

2014

Mar 13, 2015

$124M

$123M

n/a

2013

Mar 24, 2014

$115M

n/a

2012

Mar 21, 2013

$97.7M

$97.3M

n/a

2011

Mar 28, 2012

$96.8M

$96.2M

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

$661M

$621M

6.4%

$347M

24.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KESTRA ADVISORY SERVICES, LLC

Jan 27, 2017

Jan 26, 2017

GREENSBORO, NC

Team lift out

Other

0.2%