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

STRATTON MANAGEMENT COMPANY

CRD 104965

KING OF PRUSSIA, PA

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:a01901c0-8eac-e63f-77e6-3185b904c7eb

Data as of Aug 28, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Aug 28, 2015
11 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: $1.1BItem 5.F on the latest filing (2015-08-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $757M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 6
Accounts: 565
Custody, client assets: $95.0M
SEC number: 801-8681
CRD: 104965
Filings on the tape: 11
First filed: Mar 29, 2012
Latest filed: Aug 28, 2015
Organised: Limited Liability Company, Pennsylvania

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
AFFLECK, JOHN, ALLEN	CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR	Na	yes	05/2012	Mar 29, 2012	Aug 28, 2015
BB&T CORPORATION	Owner	E	yes	08/2015	Aug 28, 2015	Aug 28, 2015
CRAM, BRYAN, SCOTT	Director	Na	yes	08/2015	Aug 28, 2015	Aug 28, 2015
FOLLMAN, SR, JOHN, PHILIP	Director	Na	yes	05/2008	Mar 29, 2012	Aug 28, 2015
FRANCIS, BERNARD, ALLEN	CHAIRMAN OF THE BOARD OF DIRECTORS	Na	yes	05/2008	Mar 29, 2012	Aug 28, 2015
MERINAR, DENISE, KATHLEEN	Director	Na	yes	08/2015	Aug 28, 2015	Aug 28, 2015
QUEREAU, JAMES, VAN DYKE	Director	Na	yes	02/2010	Mar 29, 2012	Aug 28, 2015
RITTER, MARK, ALLEN	Director	Na	yes	02/2014	Mar 21, 2014	Aug 28, 2015
ROSE, M., ZEV	Director	Na	yes	05/2008	Mar 29, 2012	Aug 28, 2015
CANNON, LYNNE, MARPLE	CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER	Na	no	04/2012	Mar 29, 2012	Aug 28, 2015
SWALLOW, MICHAEL, FRANCIS	Treasurer	Na	no	05/2012	May 4, 2012	Aug 28, 2015

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
STERLING CAPITAL MANAGEMENT LLC	n/a	Other adviser	$69B	N	yes	n/a
BB&T SECURITIES, LLC	n/a	Former SEC adviser	$26B	N	yes	n/a
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.	n/a	Former SEC adviser	$9.0B	N	yes	n/a
VALLEY FORGE ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$2.2B	N	yes	n/a
BB&T INVESTMENT SERVICES, INC.	n/a	Former SEC adviser	$1.1B	N	yes	n/a
BB&T CORPORATION	n/a	n/a	n/a	Y	no	n/a
P.J. ROBB VARIABLE CORPORATION	n/a	n/a	n/a	N	yes	n/a
SUSQUEHANNA BANK	n/a	n/a	n/a	N	yes	n/a

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
2014	Mar 19, 2015	$3.0B	$2.6B	26	10	n/a	n/a	n/a
2013	Mar 21, 2014	$2.6B	$2.3B	27	9	n/a	n/a	n/a
2012	Mar 25, 2013	$2.1B	$1.8B	27	9	n/a	n/a	n/a
2011	Mar 29, 2012	$1.9B	$1.6B	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
2014	$1.1B	$2.6B	-56.5%	$1.9B	-15.4%	16	27	n/a	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
BB&T SECURITIES, LLC	2	Mar 10, 2016	Mar 1, 2016	KING OF PRUSSIA, PA	Team lift out	Other	100.0%
STERLING CAPITAL MANAGEMENT LLC	3	Aug 3, 2015	Aug 24, 2015	KING OF PRUSSIA, PA	Firm absorbed	Other	75.0%

Relationships

Affiliated with (6)

← VALLEY FORGE ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ STERLING CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BB&T SECURITIES, LLCRegistered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
→ BB&T INVESTMENT SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ VALLEY FORGE ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, broker-dealer, LP sponsor, common control
factForm ADV

Owns (2)

← CANNON, LYNNE, MARPLEOwnerCHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← SWALLOW, MICHAEL, FRANCISOwnerTREASURER, ownership code NA, individual
May 4, 2012 to presentfactForm ADV

Controls (9)

← QUEREAU, JAMES, VAN DYKEOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← AFFLECK, JOHN, ALLENOwnerCHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← CRAM, BRYAN, SCOTTOwnerDIRECTOR, ownership code NA, individual
Aug 28, 2015 to presentfactForm ADV
← MERINAR, DENISE, KATHLEENOwnerDIRECTOR, ownership code NA, individual
Aug 28, 2015 to presentfactForm ADV
← ROSE, M., ZEVOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← FOLLMAN, SR, JOHN, PHILIPOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← RITTER, MARK, ALLENOwnerDIRECTOR, ownership code NA, individual
Mar 21, 2014 to presentfactForm ADV
← FRANCIS, BERNARD, ALLENOwnerCHAIRMAN OF THE BOARD OF DIRECTORS, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← BB&T CORPORATIONOwnerOWNER, ownership code E, domestic entity
Aug 28, 2015 to presentfactForm ADV

Registered with (6)

← JARED VAN DYKE QUEREAUAdvisorregistration: previous registration
Sep 3, 2015 to Mar 10, 2016factForm ADV
← MICHAEL JOSEPH ADAMSAdvisorregistration: previous registration
May 7, 1998 to Mar 10, 2016factForm ADV
← GERALD MICHAEL VAN HORNAdvisorregistration: previous registration
Mar 15, 2001 to Aug 3, 2015factForm ADV
← ANDREW THOMAS DIZIOAdvisorregistration: previous registration
Apr 9, 2012 to Aug 3, 2015factForm ADV
← SHAWN MICHAEL GALLAGHERAdvisorregistration: previous registration
Mar 4, 2013 to Aug 3, 2015factForm ADV
← PATRICK JOSEPH MCGINNISAdvisorregistration: previous registration
Jan 30, 1995 to May 19, 2015factForm ADV

Moved with (2)

→ BB&T SECURITIES, LLCRegistered adviser2 advisors, team lift out, same day
Mar 10, 2016 to Mar 1, 2016factForm ADV
→ STERLING CAPITAL MANAGEMENT LLCRegistered adviser3 advisors, firm absorbed, same day
Aug 3, 2015 to Aug 24, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a01901c0-8eac-e63f-77e6-3185b904c7eb
First observed: Mar 29, 2012
Last observed: Aug 28, 2015 134 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.

STRATTON MANAGEMENT COMPANY

CRD 104965

KING OF PRUSSIA, PA

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:a01901c0-8eac-e63f-77e6-3185b904c7eb

Data as of Aug 28, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AFFLECK, JOHN, ALLEN

CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR

yes

05/2012

Mar 29, 2012

Aug 28, 2015

BB&T CORPORATION

Owner

yes

08/2015

Aug 28, 2015

CRAM, BRYAN, SCOTT

Director

yes

08/2015

Aug 28, 2015

FOLLMAN, SR, JOHN, PHILIP

Director

yes

05/2008

Mar 29, 2012

Aug 28, 2015

FRANCIS, BERNARD, ALLEN

CHAIRMAN OF THE BOARD OF DIRECTORS

yes

05/2008

Mar 29, 2012

Aug 28, 2015

MERINAR, DENISE, KATHLEEN

Director

yes

08/2015

Aug 28, 2015

QUEREAU, JAMES, VAN DYKE

Director

yes

02/2010

Mar 29, 2012

Aug 28, 2015

RITTER, MARK, ALLEN

Director

yes

02/2014

Mar 21, 2014

Aug 28, 2015

ROSE, M., ZEV

Director

yes

05/2008

Mar 29, 2012

Aug 28, 2015

CANNON, LYNNE, MARPLE

CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER

04/2012

Mar 29, 2012

Aug 28, 2015

SWALLOW, MICHAEL, FRANCIS

Treasurer

05/2012

May 4, 2012

Aug 28, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STERLING CAPITAL MANAGEMENT LLC

n/a

Other adviser

$69B

yes

n/a

BB&T SECURITIES, LLC

n/a

Former SEC adviser

$26B

yes

n/a

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

n/a

Former SEC adviser

$9.0B

yes

n/a

VALLEY FORGE ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$2.2B

yes

n/a

BB&T INVESTMENT SERVICES, INC.

n/a

Former SEC adviser

$1.1B

yes

n/a

BB&T CORPORATION

n/a

P.J. ROBB VARIABLE CORPORATION

n/a

yes

n/a

SUSQUEHANNA BANK

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 19, 2015

$3.0B

$2.6B

n/a

2013

Mar 21, 2014

$2.6B

$2.3B

n/a

2012

Mar 25, 2013

$2.1B

$1.8B

n/a

2011

Mar 29, 2012

$1.9B

$1.6B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$1.1B

$2.6B

-56.5%

$1.9B

-15.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BB&T SECURITIES, LLC

Mar 10, 2016

Mar 1, 2016

KING OF PRUSSIA, PA

Team lift out

Other

100.0%

STERLING CAPITAL MANAGEMENT LLC

Aug 3, 2015

Aug 24, 2015

KING OF PRUSSIA, PA

Firm absorbed

Other

75.0%