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

DAVIDSON & GARRARD INC

CRD 105206

LYNCHBURG, 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:b3a4c246-0837-9c70-a71f-995aab2c58d8

Data as of Aug 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2012 to Aug 8, 2017
13 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: $685MItem 5.F on the latest filing (2017-08-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $680M
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: 12
Advisory employees: 10
Accounts: 1,338
Custody, client assets: $6.6M
SEC number: 801-28022
CRD: 105206
Filings on the tape: 13
First filed: Mar 6, 2012
Latest filed: Aug 8, 2017
Organised: Corporation, 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
CRANK, STEPHEN, LEE	DIRECTOR-SECRETARY	B	yes	10/2000	Mar 6, 2012	Aug 8, 2017
FLIPPIN, JOHN, MORTON	DIRECTOR - TREASURER	B	yes	07/2015	Mar 30, 2016	Aug 8, 2017
HANSEN, DAVID, JERIT	DIRECTOR-VICE PRESIDENT	B	yes	07/2015	Mar 30, 2016	Aug 8, 2017
PAXTON, WILLIAM, WINFREE	DIRECTOR - PRESIDENT	B	yes	10/2000	Mar 6, 2012	Aug 8, 2017
BRADLEY, ANNETTE, ADAMS	CHIEF COMPLIANCE OFFICER	Na	no	03/2013	Mar 19, 2013	Aug 8, 2017
GUARD, GLENN, MATTHEW	Stockholder	A	no	01/2008	Mar 6, 2012	Aug 8, 2017

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
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	yes	n/a
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	yes	n/a
PENSIONMARK FINANCIAL GROUP, LLC	n/a	Other adviser	$72B	N	yes	n/a
DAVID JERIT HANSEN	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
Lexington	Va	United States	n/a	no
Vienna	Va	United States	n/a	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
2016	Mar 30, 2017	$685M	$680M	12	10	n/a	n/a	n/a
2015	Mar 30, 2016	$652M	$648M	12	10	n/a	n/a	n/a
2014	Mar 26, 2015	$694M	$694M	12	11	n/a	n/a	n/a
2013	Mar 27, 2014	$609M	$609M	11	10	n/a	n/a	n/a
2012	Mar 19, 2013	$509M	$509M	10	9	n/a	n/a	n/a
2011	Mar 6, 2012	$439M	$439M	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
2016	$685M	$652M	5.0%	$609M	4.0%	12	12	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
Captrust	2	Dec 31, 2017	Jan 12, 2018	LYNCHBURG, VA	Team lift out	Other	100.0%
Captrust	3	Sep 15, 2017	Sep 27, 2017	LYNCHBURG, VA	Firm absorbed	Other	60.0%

Relationships

Affiliated with (3)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ WORLD INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← CRANK, STEPHEN, LEEOwnerDIRECTOR-SECRETARY, ownership code B, individual
Mar 6, 2012 to presentfactForm ADV
← PAXTON, WILLIAM, WINFREEOwnerDIRECTOR - PRESIDENT, ownership code B, individual
Mar 6, 2012 to presentfactForm ADV
← FLIPPIN, JOHN, MORTONOwnerDIRECTOR - TREASURER, ownership code B, individual
Mar 30, 2016 to presentfactForm ADV
← HANSEN, DAVID, JERITOwnerDIRECTOR-VICE PRESIDENT, ownership code B, individual
Mar 30, 2016 to presentfactForm ADV

Owns (2)

← GUARD, GLENN, MATTHEWOwnerSTOCKHOLDER, ownership code A, individual
Mar 6, 2012 to presentfactForm ADV
← BRADLEY, ANNETTE, ADAMSOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 19, 2013 to presentfactForm ADV

Moved with (1)

→ CAPTRUSTRegistered adviser2 advisors, team lift out, same day
Dec 31, 2017 to Jan 12, 2018factForm ADV

Registered with (7)

← Lewis Lamont ThomasAdvisorregistration: previous registration
Nov 13, 2013 to Dec 31, 2017factForm ADV
← Marcus Paul BorelAdvisorregistration: previous registration
Oct 20, 2014 to Dec 31, 2017factForm ADV
← William Winfree PaxtonAdvisorregistration: previous registration
Jul 7, 1998 to Sep 27, 2017factForm ADV
← John Morton FlippinAdvisorregistration: previous registration
Feb 7, 2006 to Sep 27, 2017factForm ADV
← Mark Thomas MinerAdvisorregistration: previous registration
Feb 27, 2015 to Sep 15, 2017factForm ADV
← DOROTHY OSCARLYN ELDERAdvisorregistration: previous registration
Aug 1, 2003 to Jan 16, 2009factForm ADV
← KATHLEEN SEIFERT GRAVESAdvisorregistration: previous registration
Sep 29, 2003 to Nov 2, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3a4c246-0837-9c70-a71f-995aab2c58d8
First observed: Mar 6, 2012
Last observed: Aug 8, 2017 111 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.

DAVIDSON & GARRARD INC

CRD 105206

LYNCHBURG, 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:b3a4c246-0837-9c70-a71f-995aab2c58d8

Data as of Aug 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CRANK, STEPHEN, LEE

DIRECTOR-SECRETARY

yes

10/2000

Mar 6, 2012

Aug 8, 2017

FLIPPIN, JOHN, MORTON

DIRECTOR - TREASURER

yes

07/2015

Mar 30, 2016

Aug 8, 2017

HANSEN, DAVID, JERIT

DIRECTOR-VICE PRESIDENT

yes

07/2015

Mar 30, 2016

Aug 8, 2017

PAXTON, WILLIAM, WINFREE

DIRECTOR - PRESIDENT

yes

10/2000

Mar 6, 2012

Aug 8, 2017

BRADLEY, ANNETTE, ADAMS

CHIEF COMPLIANCE OFFICER

03/2013

Mar 19, 2013

Aug 8, 2017

GUARD, GLENN, MATTHEW

Stockholder

01/2008

Mar 6, 2012

Aug 8, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

yes

n/a

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

yes

n/a

PENSIONMARK FINANCIAL GROUP, LLC

n/a

Other adviser

$72B

yes

n/a

DAVID JERIT HANSEN

n/a

City

State

Country

Employees

Also broker-dealer

Lexington

United States

n/a

Vienna

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$685M

$680M

n/a

2015

Mar 30, 2016

$652M

$648M

n/a

2014

Mar 26, 2015

$694M

n/a

2013

Mar 27, 2014

$609M

n/a

2012

Mar 19, 2013

$509M

n/a

2011

Mar 6, 2012

$439M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$685M

$652M

5.0%

$609M

4.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Captrust

Dec 31, 2017

Jan 12, 2018

LYNCHBURG, VA

Team lift out

Other

100.0%

Captrust

Sep 15, 2017

Sep 27, 2017

LYNCHBURG, VA

Firm absorbed

Other

60.0%