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

FLIPPIN BRUCE & PORTER INC

CRD 105718

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:bdbea731-d38b-669e-4ca4-65cdd8db8cc9

Data as of Mar 19, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Mar 19, 2021
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: $587MItem 5.F on the latest filing (2021-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $587M
Private client RAUM: $461MderivedItem 5.D individuals plus high net worth individuals
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 438
Individual clients: 0
High net worth clients: 391
Custody, client assets: $74.3M
SEC number: 801-24187
CRD: 105718
Filings on the tape: 13
First filed: Mar 26, 2012
Latest filed: Mar 19, 2021
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
BRUCE, JOHN, THOMAS	DIRECTOR/PRESIDENT/EXECUTIVE COMMITTEE	C	yes	03/2008	Mar 26, 2012	Mar 19, 2021
DARDEN, NORMAN, DELMAS	EXECUTIVE COMMITTEE	A	yes	03/2008	Mar 26, 2012	Mar 19, 2021
HANNA, JOHN, HENRY	DIRECTOR/VICE PRESIDENT/EXECUTIVE COMMITTEE	B	yes	03/2008	Mar 26, 2012	Mar 19, 2021
MARSHALL, DAVID, JARRELL	DIRECTOR/SECRETARY/EXECUTIVE COMMITTEE	B	yes	03/2008	Mar 26, 2012	Mar 19, 2021
SANDERSON, TERESA, LAYNE	CHIEF COMPLIANCE OFFICER	Na	no	01/2004	Mar 26, 2012	Mar 19, 2021
WATSON, MICHAEL, EUGENE	TREASURER/CONTROLLER	A	no	03/2008	Mar 26, 2012	Mar 19, 2021

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
2020	Mar 19, 2021	$587M	$587M	13	5	0	n/a	n/a
2019	Mar 27, 2020	$677M	$677M	13	5	0	n/a	n/a
2018	Mar 29, 2019	$596M	$596M	13	5	0	n/a	n/a
2017	Mar 29, 2018	$554M	$554M	12	5	0	n/a	n/a
2016	Mar 28, 2017	$485M	$485M	13	5	n/a	n/a	n/a
2015	Mar 28, 2016	$358M	$358M	14	5	n/a	n/a	n/a
2014	Mar 27, 2015	$386M	$386M	14	5	n/a	n/a	n/a
2013	Mar 28, 2014	$396M	$396M	15	6	n/a	n/a	n/a
2012	Mar 28, 2013	$431M	$431M	15	6	n/a	n/a	n/a
2011	Mar 26, 2012	$657M	$657M	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
2020	$587M	$677M	-13.4%	$554M	1.9%	13	13	0	0

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
CANTOR FITZGERALD INVESTMENT ADVISORS	4	Jul 7, 2021	Jul 8, 2021	LYNCHBURG, VA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (4)

← HANNA, JOHN, HENRYOwnerDIRECTOR/VICE PRESIDENT/EXECUTIVE COMMITTEE, ownership code B, individual
Mar 26, 2012 to presentfactForm ADV
← DARDEN, NORMAN, DELMASOwnerEXECUTIVE COMMITTEE, ownership code A, individual
Mar 26, 2012 to presentfactForm ADV
← BRUCE, JOHN, THOMASOwnerDIRECTOR/PRESIDENT/EXECUTIVE COMMITTEE, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← MARSHALL, DAVID, JARRELLOwnerDIRECTOR/SECRETARY/EXECUTIVE COMMITTEE, ownership code B, individual
Mar 26, 2012 to presentfactForm ADV

Owns (2)

← SANDERSON, TERESA, LAYNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← WATSON, MICHAEL, EUGENEOwnerTREASURER/CONTROLLER, ownership code A, individual
Mar 26, 2012 to presentfactForm ADV

Moved with (1)

→ CANTOR FITZGERALD INVESTMENT ADVISORSRegistered adviser4 advisors, firm absorbed, same day
Jul 7, 2021 to Jul 8, 2021factForm ADV

Registered with (8)

← Joseph Scott MorrellAdvisorregistration: previous registration
Jul 24, 1995 to Jul 7, 2021factForm ADV
← NORMAN DELMAS DARDENAdvisorregistration: previous registration
Jan 21, 2000 to Jul 7, 2021factForm ADV
← JOHN THOMAS BRUCEAdvisorregistration: previous registration
Aug 27, 1987 to Jul 7, 2021factForm ADV
← David Jarrell MarshallAdvisorregistration: previous registration
Jun 29, 1994 to Jul 7, 2021factForm ADV
← STEPHEN WILSON SIMMONSAdvisorregistration: previous registration
Jun 23, 1999 to Mar 13, 2012factForm ADV
← JOSEPH THOMAS ANTONELLIAdvisorregistration: previous registration
Sep 24, 1993 to Apr 15, 2009factForm ADV
← JUSTIN MICHAEL KLESTINSKIAdvisorregistration: previous registration
Feb 12, 2002 to Feb 24, 2009factForm ADV
← SEAN MICHAEL LANGLEYAdvisorregistration: previous registration
Feb 11, 2005 to Nov 10, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bdbea731-d38b-669e-4ca4-65cdd8db8cc9
First observed: Mar 26, 2012
Last observed: Mar 19, 2021 67 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.

FLIPPIN BRUCE & PORTER INC

CRD 105718

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:bdbea731-d38b-669e-4ca4-65cdd8db8cc9

Data as of Mar 19, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRUCE, JOHN, THOMAS

DIRECTOR/PRESIDENT/EXECUTIVE COMMITTEE

yes

03/2008

Mar 26, 2012

Mar 19, 2021

DARDEN, NORMAN, DELMAS

EXECUTIVE COMMITTEE

yes

03/2008

Mar 26, 2012

Mar 19, 2021

HANNA, JOHN, HENRY

DIRECTOR/VICE PRESIDENT/EXECUTIVE COMMITTEE

yes

03/2008

Mar 26, 2012

Mar 19, 2021

MARSHALL, DAVID, JARRELL

DIRECTOR/SECRETARY/EXECUTIVE COMMITTEE

yes

03/2008

Mar 26, 2012

Mar 19, 2021

SANDERSON, TERESA, LAYNE

CHIEF COMPLIANCE OFFICER

01/2004

Mar 26, 2012

Mar 19, 2021

WATSON, MICHAEL, EUGENE

TREASURER/CONTROLLER

03/2008

Mar 26, 2012

Mar 19, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 19, 2021

$587M

n/a

2019

Mar 27, 2020

$677M

n/a

2018

Mar 29, 2019

$596M

n/a

2017

Mar 29, 2018

$554M

n/a

2016

Mar 28, 2017

$485M

n/a

2015

Mar 28, 2016

$358M

n/a

2014

Mar 27, 2015

$386M

n/a

2013

Mar 28, 2014

$396M

n/a

2012

Mar 28, 2013

$431M

n/a

2011

Mar 26, 2012

$657M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$587M

$677M

-13.4%

$554M

1.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CANTOR FITZGERALD INVESTMENT ADVISORS

Jul 7, 2021

Jul 8, 2021

LYNCHBURG, VA

Firm absorbed

RIA to RIA

100.0%