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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

CARY STREET PARTNERS ASSET MANAGEMENT

CARY STREET PARTNERS ASSET MANAGEMENT LLC, CRD 289178

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:96bb2893-379e-79be-f3c2-98c40fa7b61d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 27
On other graphs: 0
Observed: Jul 12, 2017 to Mar 31, 2026
34 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=0.88 fund_share=0.06 institutional_share=0.03 related_bd=true related_bank=false bd_reps=11.0
Regulatory AUM: $1.4BItem 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: $1.4B
Private client RAUM: $1.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $241Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 49
Advisory employees: 8
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 3,451
Individual clients: 1,196
High net worth clients: 608
SEC number: 801-110994
CIK: 1845445
CRD: 289178
Filings on the tape: 34
First filed: Jul 12, 2017
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, VA
Website: carystreetpartners.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
DIANE LISA SOBIN	Chartered Financial Analyst	Richmond, VA	6	34	1	no
Marc L Davis	Chartered Financial Analyst	Summit, NJ	0	24	n/a	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
BAYNE, WALTER, DONALD	BOARD MANAGER; PRESIDENT, MANAGING DIRECTOR	Na	yes	08/2017	Jul 12, 2017	Oct 3, 2024
CARY STREET PARTNERS FINANCIAL LLC ("CSPF")	Owner	E	yes	05/2017	Aug 2, 2022	Oct 3, 2024
CHEN, HSUEH-LIANG "LEON"	BOARD MANAGER; CHIEF TECHNOLOGY OFFICER (CSPF)	Na	yes	10/2016	Mar 30, 2022	Oct 3, 2024
GALLUP, WESLEY, HAMILTON	BOARD MANAGER; CHIEF OPERATING OFFICER (CSPF)	Na	yes	02/2021	Mar 31, 2021	Oct 3, 2024
Hazel, Richard, Marshall	BOARD MANAGER	F	yes	12/2021	Dec 17, 2021	Oct 3, 2024
MITCHELL, KEVIN, LEE	CHIEF FINANCIAL OFFICER, DIRECTOR	Na	yes	07/2017	Jul 12, 2017	Oct 3, 2024
RUBIN, MATTHEW, LAWRENCE	CHIEF INVESTMENT OFFICER (CSPF)	Na	yes	01/2024	Mar 28, 2024	Oct 3, 2024
SCHMUCKLER, JOSEPH, REDMOND	BOARD MANAGER	F	yes	07/2017	Jul 12, 2017	Oct 3, 2024
SCHMUCKLER, JOSEPH, REDMOND	CHAIRMAN, BOARD MANAGER; CHIEF EXECUTIVE OFFICER (CSPF)	Na	yes	07/2015	Jul 12, 2017	Oct 3, 2024
SLONECKER, DERRON, SCOTT	BOARD MANAGER	F	yes	08/2019	May 19, 2020	Oct 3, 2024
STEWART, DOUGLAS, GUY	BOARD MANAGER	F	yes	08/2017	Jul 12, 2017	Oct 3, 2024
STOCKTON, KATHERINE, TOWNSHEND	BOARD MANAGER	F	yes	05/2023	Jun 27, 2023	Oct 3, 2024
TEDESCO, MARIA, PIA	BOARD MANAGER	F	yes	06/2022	Aug 2, 2022	Oct 3, 2024
TULLIDGE, THOMAS, HOGSHEAD	BOARD MANAGER	F	yes	03/2021	Jul 12, 2017	Oct 3, 2024
TULLIDGE, THOMAS, HOGSHEAD	SECRETARY/TREASURER, BOARD MANAGER, MANAGING DIRECTOR; CHIEF STRATEGY OFFICER, LEGAL AND FINANCE (CSPF)	Na	yes	10/2017	Jul 12, 2017	Oct 3, 2024
OLIVER, NANCY, RIGGLEMAN	CHIEF COMPLIANCE OFFICER, DIRECTOR	Na	no	09/2024	Oct 3, 2024	Oct 3, 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
CARY STREET PARTNERS INVESTMENT ADVISORY LLC	n/a	Bd affiliated wealth	$10B	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
MARIA PATTON CPA PLLC	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Morristown	Nj	United States	5	yes
Fredericksburg	Va	United States	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$1.4B	$1.4B	49	8	2	n/a	n/a
2024	Mar 30, 2025	$1.5B	$1.5B	48	10	2	n/a	n/a
2023	Mar 28, 2024	$1.5B	$1.4B	47	12	2	n/a	n/a
2022	Mar 30, 2023	$1.3B	$1.2B	39	11	2	n/a	n/a
2021	Mar 30, 2022	$1.3B	$1.1B	37	10	2	n/a	n/a
2020	Mar 31, 2021	$1.0B	$900M	36	10	2	n/a	n/a
2019	Mar 27, 2020	$484M	$384M	4	4	0	n/a	n/a
2018	Mar 28, 2019	$396M	$303M	5	4	0	n/a	n/a
2017	Mar 26, 2018	$326M	$326M	5	4	0	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	0	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	$1.4B	$1.5B	-2.9%	$1.3B	3.9%	49	48	2	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
TRADITION ASSET MANAGEMENT LLC	2	Nov 13, 2020	Jul 1, 2020	SUMMIT, NJ	Team lift out	RIA to RIA	40.0%

Relationships

Affiliated with (3)

→ CARY STREET PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
← CARY STREET PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
← TRADITION ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (8)

← Marc L DavisAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← John Richard FarrellAdvisorregistration: current employment
Jun 27, 2025 to presentfactForm ADV
← MATTHEW LAWRENCE RUBINAdvisorregistration: current employment
Jun 17, 2024 to presentfactForm ADV
← ALAN JOEL REEFAdvisorregistration: current employment
Feb 17, 2021 to presentfactForm ADV
← DIANE LISA SOBINAdvisorregistration: current employment
Jul 1, 2020 to presentfactForm ADV
← THEODORE JAMES BROWNAdvisorregistration: current employment
Aug 31, 2017 to presentfactForm ADV
← AARON JAMES SUMMERSAdvisorregistration: previous registration
Aug 31, 2017 to Feb 13, 2023factForm ADV
← BENJAMIN CARY HALLIBURTONAdvisorregistration: previous registration
Jul 1, 2020 to May 4, 2021factForm ADV

Controls (13)

← SCHMUCKLER, JOSEPH, REDMONDOwnerBOARD MANAGER, ownership code F, individual
Jul 12, 2017 to Oct 3, 2024factForm ADV
← STEWART, DOUGLAS, GUYOwnerBOARD MANAGER, ownership code F, individual
Jul 12, 2017 to Oct 3, 2024factForm ADV
← CHEN, HSUEH-LIANG "LEON"OwnerBOARD MANAGER; CHIEF TECHNOLOGY OFFICER (CSPF), ownership code NA, individual
Mar 30, 2022 to Oct 3, 2024factForm ADV
← TULLIDGE, THOMAS, HOGSHEADOwnerBOARD MANAGER, ownership code F, individual
Jul 12, 2017 to Oct 3, 2024factForm ADV
← RUBIN, MATTHEW, LAWRENCEOwnerCHIEF INVESTMENT OFFICER (CSPF), ownership code NA, individual
Mar 28, 2024 to Oct 3, 2024factForm ADV
← MITCHELL, KEVIN, LEEOwnerCHIEF FINANCIAL OFFICER, DIRECTOR, ownership code NA, individual
Jul 12, 2017 to Oct 3, 2024factForm ADV
← STOCKTON, KATHERINE, TOWNSHENDOwnerBOARD MANAGER, ownership code F, individual
Jun 27, 2023 to Oct 3, 2024factForm ADV
← SLONECKER, DERRON, SCOTTOwnerBOARD MANAGER, ownership code F, individual
May 19, 2020 to Oct 3, 2024factForm ADV
← BAYNE, WALTER, DONALDOwnerBOARD MANAGER; PRESIDENT, MANAGING DIRECTOR, ownership code NA, individual
Jul 12, 2017 to Oct 3, 2024factForm ADV
← GALLUP, WESLEY, HAMILTONOwnerBOARD MANAGER; CHIEF OPERATING OFFICER (CSPF), ownership code NA, individual
Mar 31, 2021 to Oct 3, 2024factForm ADV
← TEDESCO, MARIA, PIAOwnerBOARD MANAGER, ownership code F, individual
Aug 2, 2022 to Oct 3, 2024factForm ADV
← Hazel, Richard, MarshallOwnerBOARD MANAGER, ownership code F, individual
Dec 17, 2021 to Oct 3, 2024factForm ADV
← CARY STREET PARTNERS FINANCIAL LLC ("CSPF")OwnerOWNER, ownership code E, domestic entity
Aug 2, 2022 to Oct 3, 2024factForm ADV

Owns (1)

← OLIVER, NANCY, RIGGLEMANOwnerCHIEF COMPLIANCE OFFICER, DIRECTOR, ownership code NA, individual
Oct 3, 2024 to Oct 3, 2024factForm ADV

Moved with (1)

← TRADITION ASSET MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Nov 13, 2020 to Jul 1, 2020factForm ADV

Dated events

Occurred
Oct 3, 2024
Control person left
Owen Thomas Herrick (Board Manager; Chief Market Strategist, Managing Director (Cspf); Chief Investment Officer (Cspam)) no longer on Schedule A of Cary Street Partners Asset Management (listed 2024-03-28, absent 2024-10-03)
Form ADVobserved 6 days ago
Occurred
Oct 3, 2024
Control person left
Lacey Jessica Thompson (Board Manager; Chief Compliance Officer & Corporate Counsel, Managing Director (Cspf)) no longer on Schedule A of Cary Street Partners Asset Management (listed 2024-03-28, absent 2024-10-03)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2024
Control person joined
L Matthew Rubin (Board Manager; Chief Investment Officer (Cspf), Managing Director) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Jun 27, 2023
Control person joined
Townshend Katherine Stockton (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Feb 13, 2023
Advisor departed, no destination yet
Aaron James Summers no longer registered at Cary Street Partners Asset Management; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Cary Street Partners Asset Management reported RAUM $1.3B, up 28% from $1.0B (2021-12-21 to 2022-03-30)
Form ADVobserved 6 days ago
$283M
Occurred
Mar 30, 2022
Control person joined
Donald Walter Bayne (Board Manager; President, Managing Director (Cspf)) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 30, 2022
Control person joined
Hsuehliang Chen (Board Manager; Chief Technology Officer, Managing Director (Cspf)) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Dec 17, 2021
Control person joined
Marshall Richard Hazel (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Dec 17, 2021
Control person left
Wendy G Rogers (Board Manager) no longer on Schedule A of Cary Street Partners Asset Management (listed 2021-03-31, absent 2021-12-17)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Cary Street Partners Asset Management reported RAUM $1.0B, up 108% from $484.3M (2021-02-06 to 2021-03-31)
Form ADVobserved 6 days ago
$523M
Occurred
Mar 31, 2021
Control person left
Hill Anson Beard (Board Manager) no longer on Schedule A of Cary Street Partners Asset Management (listed 2021-02-06, absent 2021-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person left
Cary Benjamin Halliburton (Board Manager) no longer on Schedule A of Cary Street Partners Asset Management (listed 2021-02-06, absent 2021-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person joined
Wesley Gallup (Deputy Chief Operations Officer) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person joined
Hogshead Thomas Tullidge (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Feb 6, 2021
Control person left
Max C Chapman Jr (Board Manager) no longer on Schedule A of Cary Street Partners Asset Management (listed 2020-11-09, absent 2021-02-06)
Form ADVobserved 6 days ago
Occurred
Nov 9, 2020
Control person joined
Lacey Jessica Thompson (Chief Compliance Officer) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Nov 9, 2020
Control person left
Dion Kevin Spence (Chief Compliance Officer) no longer on Schedule A of Cary Street Partners Asset Management (listed 2020-11-04, absent 2020-11-09)
Form ADVobserved 6 days ago
Occurred
May 19, 2020
Control person joined
Scott Derron Slonecker (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 27, 2020
Control person joined
Cary Benjamin Halliburton (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person left
Donald Walter Bayne (Manager) no longer on Schedule A of Cary Street Partners Asset Management (listed 2018-06-28, absent 2019-03-28)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person left
Hogshead Thomas Tullidge (Manager) no longer on Schedule A of Cary Street Partners Asset Management (listed 2018-06-28, absent 2019-03-28)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person joined
Owen Thomas Herrick (President) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person joined
Wendy G Rogers (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person joined
Max C Chapman Jr (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Mar 28, 2019
Control person joined
Guy Douglas Stewart (Board Manager) appeared on Schedule A of Cary Street Partners Asset Management
Form ADVobserved 6 days ago
Occurred
Jul 12, 2017
First Form ADV filing
Luxon Asset Management filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96bb2893-379e-79be-f3c2-98c40fa7b61d
First observed: Jul 12, 2017
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.

CARY STREET PARTNERS ASSET MANAGEMENT

CARY STREET PARTNERS ASSET MANAGEMENT LLC, CRD 289178

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:96bb2893-379e-79be-f3c2-98c40fa7b61d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DIANE LISA SOBIN

Chartered Financial Analyst

Richmond, VA

Marc L Davis

Chartered Financial Analyst

Summit, NJ

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAYNE, WALTER, DONALD

BOARD MANAGER; PRESIDENT, MANAGING DIRECTOR

yes

08/2017

Jul 12, 2017

Oct 3, 2024

CARY STREET PARTNERS FINANCIAL LLC ("CSPF")

Owner

yes

05/2017

Aug 2, 2022

Oct 3, 2024

CHEN, HSUEH-LIANG "LEON"

BOARD MANAGER; CHIEF TECHNOLOGY OFFICER (CSPF)

yes

10/2016

Mar 30, 2022

Oct 3, 2024

GALLUP, WESLEY, HAMILTON

BOARD MANAGER; CHIEF OPERATING OFFICER (CSPF)

yes

02/2021

Mar 31, 2021

Oct 3, 2024

Hazel, Richard, Marshall

BOARD MANAGER

yes

12/2021

Dec 17, 2021

Oct 3, 2024

MITCHELL, KEVIN, LEE

CHIEF FINANCIAL OFFICER, DIRECTOR

yes

07/2017

Jul 12, 2017

Oct 3, 2024

RUBIN, MATTHEW, LAWRENCE

CHIEF INVESTMENT OFFICER (CSPF)

yes

01/2024

Mar 28, 2024

Oct 3, 2024

SCHMUCKLER, JOSEPH, REDMOND

BOARD MANAGER

yes

07/2017

Jul 12, 2017

Oct 3, 2024

SCHMUCKLER, JOSEPH, REDMOND

CHAIRMAN, BOARD MANAGER; CHIEF EXECUTIVE OFFICER (CSPF)

yes

07/2015

Jul 12, 2017

Oct 3, 2024

SLONECKER, DERRON, SCOTT

BOARD MANAGER

yes

08/2019

May 19, 2020

Oct 3, 2024

STEWART, DOUGLAS, GUY

BOARD MANAGER

yes

08/2017

Jul 12, 2017

Oct 3, 2024

STOCKTON, KATHERINE, TOWNSHEND

BOARD MANAGER

yes

05/2023

Jun 27, 2023

Oct 3, 2024

TEDESCO, MARIA, PIA

BOARD MANAGER

yes

06/2022

Aug 2, 2022

Oct 3, 2024

TULLIDGE, THOMAS, HOGSHEAD

BOARD MANAGER

yes

03/2021

Jul 12, 2017

Oct 3, 2024

TULLIDGE, THOMAS, HOGSHEAD

SECRETARY/TREASURER, BOARD MANAGER, MANAGING DIRECTOR; CHIEF STRATEGY OFFICER, LEGAL AND FINANCE (CSPF)

yes

10/2017

Jul 12, 2017

Oct 3, 2024

OLIVER, NANCY, RIGGLEMAN

CHIEF COMPLIANCE OFFICER, DIRECTOR

09/2024

Oct 3, 2024

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 LLC

n/a

yes

n/a

LUXON INSURANCE SERVICES LLC

n/a

yes

n/a

MARIA PATTON CPA PLLC

n/a

City

State

Country

Employees

Also broker-dealer

Morristown

United States

yes

Fredericksburg

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$1.4B

n/a

2024

Mar 30, 2025

$1.5B

n/a

2023

Mar 28, 2024

$1.5B

$1.4B

n/a

2022

Mar 30, 2023

$1.3B

$1.2B

n/a

2021

Mar 30, 2022

$1.3B

$1.1B

n/a

2020

Mar 31, 2021

$1.0B

$900M

n/a

2019

Mar 27, 2020

$484M

$384M

n/a

2018

Mar 28, 2019

$396M

$303M

n/a

2017

Mar 26, 2018

$326M

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

$1.4B

$1.5B

-2.9%

$1.3B

3.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TRADITION ASSET MANAGEMENT LLC

Nov 13, 2020

Jul 1, 2020

SUMMIT, NJ

Team lift out

RIA to RIA

40.0%