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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

TRADITION ASSET MANAGEMENT LLC

CRD 300756

RICHMOND, 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:3dce88c2-03ff-c7fa-784f-1a315179b75d

Data as of Nov 9, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 5
On other graphs: 0
Observed: Mar 21, 2019 to Nov 9, 2020
7 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: $727MItem 5.F on the latest filing (2020-11-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $706M
Private client RAUM: $632MderivedItem 5.D individuals plus high net worth individuals
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21
Advisory employees: 12
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 420
Individual clients: 174
High net worth clients: 221
Custody, client assets: $156M
SEC number: 801-115047
CRD: 300756
Filings on the tape: 7
First filed: Mar 21, 2019
Latest filed: Nov 9, 2020
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
BAYNE, WALTER, DONALD	President	Na	yes	12/2018	Mar 21, 2019	Nov 9, 2020
Beard, Anson, Hill	BOARD MANAGER	F	yes	08/2017	Mar 21, 2019	Nov 9, 2020
CARY STREET PARTNERS FINANCIAL LLC	Member	E	yes	03/2020	Mar 26, 2020	Nov 9, 2020
CHAPMAN JR, MAX C	BOARD MANAGER	F	yes	08/2017	Mar 21, 2019	Nov 9, 2020
DUCERA FINANCIAL LLC	BOARD MANAGER	F	yes	08/2019	Mar 26, 2020	Nov 9, 2020
HALLIBURTON, BENJAMIN, CARY	BOARD MANAGER	F	yes	05/2019	Aug 20, 2019	Nov 9, 2020
MITCHELL, KEVIN, LEE	CHIEF FINANCIAL OFFICER	Na	yes	12/2018	Mar 21, 2019	Nov 9, 2020
ROGERS, WENDY G	BOARD MANAGER	F	yes	01/2019	Mar 21, 2019	Nov 9, 2020
SCHMUCKLER, JOSEPH, REDMOND	BOARD MANAGER	F	yes	08/2017	Mar 21, 2019	Nov 9, 2020
STEWART, DOUGLAS, GUY	BOARD MANAGER	F	yes	08/2017	Mar 21, 2019	Nov 9, 2020
THOMPSON, JESSICA, LACEY	CHIEF COMPLIANCE OFFICER	Na	yes	11/2020	Nov 9, 2020	Nov 9, 2020
TULLIDGE, THOMAS, HOGSHEAD	CHIEF LEGAL OFFICER	Na	yes	12/2018	Mar 21, 2019	Nov 9, 2020

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
CARY STREET PARTNERS INVESTMENT ADVISORY LLC	n/a	Bd affiliated wealth	$10B	N	yes	n/a
CARY STREET PARTNERS ASSET MANAGEMENT LLC	n/a	Independent wealth	$1.4B	N	yes	n/a
CARY STREET PARTNERS LLC	n/a	n/a	n/a	N	yes	n/a
LUXON INSURANCE SERVICES 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
Summit	Nj	United States	4	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
2019	Mar 26, 2020	$727M	$706M	21	12	1	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
2019	$727M	n/a	n/a	n/a	n/a	21	n/a	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
CARY STREET PARTNERS	3	Nov 13, 2020	Jul 15, 2020	SUMMIT, NJ	Firm absorbed	RIA to ibd	60.0%
CARY STREET PARTNERS ASSET MANAGEMENT	2	Nov 13, 2020	Jul 1, 2020	SUMMIT, NJ	Team lift out	RIA to RIA	40.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TRADITION CAPITAL MANAGEMENT LLC	3	Dec 10, 2019	May 28, 2019	SUMMIT, NJ	Firm absorbed	RIA to RIA	75.0%

Relationships

Affiliated with (2)

→ CARY STREET PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
→ CARY STREET PARTNERS ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Controls (12)

← SCHMUCKLER, JOSEPH, REDMONDOwnerBOARD MANAGER, ownership code F, individual
Mar 21, 2019 to presentfactForm ADV
← STEWART, DOUGLAS, GUYOwnerBOARD MANAGER, ownership code F, individual
Mar 21, 2019 to presentfactForm ADV
← HALLIBURTON, BENJAMIN, CARYOwnerBOARD MANAGER, ownership code F, individual
Aug 20, 2019 to presentfactForm ADV
← Beard, Anson, HillOwnerBOARD MANAGER, ownership code F, individual
Mar 21, 2019 to presentfactForm ADV
← TULLIDGE, THOMAS, HOGSHEADOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← MITCHELL, KEVIN, LEEOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← THOMPSON, JESSICA, LACEYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 9, 2020 to presentfactForm ADV
← BAYNE, WALTER, DONALDOwnerPRESIDENT, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← CARY STREET PARTNERS FINANCIAL LLCOwnerMEMBER, ownership code E, domestic entity
Mar 26, 2020 to presentfactForm ADV
← CHAPMAN JR, MAX COwnerBOARD MANAGER, ownership code F, individual
Mar 21, 2019 to presentfactForm ADV
← DUCERA FINANCIAL LLCOwnerBOARD MANAGER, ownership code F, domestic entity
Mar 26, 2020 to presentfactForm ADV
← ROGERS, WENDY GOwnerBOARD MANAGER, ownership code F, individual
Mar 21, 2019 to presentfactForm ADV

Registered with (8)

← DIANE LISA SOBINAdvisorregistration: previous registration
Aug 28, 2019 to Nov 13, 2020factForm ADV
← BENJAMIN CARY HALLIBURTONAdvisorregistration: previous registration
May 20, 2019 to Nov 13, 2020factForm ADV
← MICHAEL CLAUDE PROVINEAdvisorregistration: previous registration
May 8, 2019 to Nov 13, 2020factForm ADV
← CASEY JOHN WIECZOREKAdvisorregistration: previous registration
May 28, 2019 to Nov 13, 2020factForm ADV
← MICHAEL ANTHONY CICCONEAdvisorregistration: previous registration
Jul 12, 2019 to Nov 13, 2020factForm ADV
← ALAN JOEL REEFAdvisorregistration: previous registration
Jan 10, 2020 to Sep 28, 2020factForm ADV
← Frani Michele FeitAdvisorregistration: previous registration
May 28, 2019 to Sep 11, 2020factForm ADV
← ROBERT JOSEPH VOCCOLAAdvisorregistration: previous registration
Jul 23, 2019 to Jul 10, 2020factForm ADV

Moved with (3)

→ CARY STREET PARTNERSRegistered adviser3 advisors, firm absorbed, same day
Nov 13, 2020 to Jul 15, 2020factForm ADV
→ CARY STREET PARTNERS ASSET MANAGEMENTRegistered adviser2 advisors, team lift out, same day
Nov 13, 2020 to Jul 1, 2020factForm ADV
← TRADITION CAPITAL MANAGEMENT LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 10, 2019 to May 28, 2019factForm ADV

Dated events

Occurred
Nov 9, 2020
Control person left
Dion Kevin Spence (Chief Compliance Officer) no longer on Schedule A of Tradition Asset Management Llc (listed 2020-06-30, absent 2020-11-09)
Form ADVobserved 5 days ago
Occurred
Nov 9, 2020
Control person joined
Lacey Jessica Thompson (Chief Compliance Officer) appeared on Schedule A of Tradition Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Aug 20, 2019
Succession filed (Item 4)
Tradition Asset Management Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Aug 20, 2019
Control person joined
Cary Benjamin Halliburton (Board Manager) appeared on Schedule A of Tradition Asset Management Llc
Form ADVobserved 5 days ago
Occurred
Mar 21, 2019
First Form ADV filing
Tradition Asset Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3dce88c2-03ff-c7fa-784f-1a315179b75d
First observed: Mar 21, 2019
Last observed: Nov 9, 2020 71 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.

TRADITION ASSET MANAGEMENT LLC

CRD 300756

RICHMOND, 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:3dce88c2-03ff-c7fa-784f-1a315179b75d

Data as of Nov 9, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAYNE, WALTER, DONALD

President

yes

12/2018

Mar 21, 2019

Nov 9, 2020

Beard, Anson, Hill

BOARD MANAGER

yes

08/2017

Mar 21, 2019

Nov 9, 2020

CARY STREET PARTNERS FINANCIAL LLC

Member

yes

03/2020

Mar 26, 2020

Nov 9, 2020

CHAPMAN JR, MAX C

BOARD MANAGER

yes

08/2017

Mar 21, 2019

Nov 9, 2020

DUCERA FINANCIAL LLC

BOARD MANAGER

yes

08/2019

Mar 26, 2020

Nov 9, 2020

HALLIBURTON, BENJAMIN, CARY

BOARD MANAGER

yes

05/2019

Aug 20, 2019

Nov 9, 2020

MITCHELL, KEVIN, LEE

CHIEF FINANCIAL OFFICER

yes

12/2018

Mar 21, 2019

Nov 9, 2020

ROGERS, WENDY G

BOARD MANAGER

yes

01/2019

Mar 21, 2019

Nov 9, 2020

SCHMUCKLER, JOSEPH, REDMOND

BOARD MANAGER

yes

08/2017

Mar 21, 2019

Nov 9, 2020

STEWART, DOUGLAS, GUY

BOARD MANAGER

yes

08/2017

Mar 21, 2019

Nov 9, 2020

THOMPSON, JESSICA, LACEY

CHIEF COMPLIANCE OFFICER

yes

11/2020

Nov 9, 2020

TULLIDGE, THOMAS, HOGSHEAD

CHIEF LEGAL OFFICER

yes

12/2018

Mar 21, 2019

Nov 9, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CARY STREET PARTNERS INVESTMENT ADVISORY LLC

n/a

Bd affiliated wealth

$10B

yes

n/a

CARY STREET PARTNERS ASSET MANAGEMENT LLC

n/a

Independent wealth

$1.4B

yes

n/a

CARY STREET PARTNERS LLC

n/a

yes

n/a

LUXON INSURANCE SERVICES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Summit

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 26, 2020

$727M

$706M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$727M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CARY STREET PARTNERS

Nov 13, 2020

Jul 15, 2020

SUMMIT, NJ

Firm absorbed

RIA to ibd

60.0%

CARY STREET PARTNERS ASSET MANAGEMENT

Nov 13, 2020

Jul 1, 2020

SUMMIT, NJ

Team lift out

RIA to RIA

40.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TRADITION CAPITAL MANAGEMENT LLC

Dec 10, 2019

May 28, 2019

SUMMIT, NJ

Firm absorbed

RIA to RIA

75.0%