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

INVESTMENT MANAGEMENT OF VIRGINIA, LLC

CRD 108687

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:e4ddd018-205b-ae57-24ca-ad5ae8fced3e

Data as of May 16, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 10
On other graphs: 0
Observed: Mar 19, 2012 to May 16, 2023
41 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: $571MItem 5.F on the latest filing (2023-05-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $568M
Private client RAUM: $487MderivedItem 5.D individuals plus high net worth individuals
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 469
Individual clients: 285
High net worth clients: 147
Custody, client assets: $166M
SEC number: 801-57765
CRD: 108687
Filings on the tape: 41
First filed: Mar 19, 2012
Latest filed: May 16, 2023
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
BOCOCK, JOHN, HOLMES	CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	07/2000	Mar 19, 2012	May 16, 2023
GUNTER, BRADLEY, HUNT	PRESIDENT/DIRECTOR	Na	yes	07/2000	Mar 19, 2012	May 16, 2023
MCVEY, GEORGE, JENNINGS	DIRECTOR, CHIEF FINANCIAL OFFICER	Na	yes	07/2000	Mar 19, 2012	May 16, 2023
NEUHAUS, THOMAS, FRIEDICH	DIRECTOR, PORTFOLIO MANAGER	Na	yes	01/2012	Mar 19, 2012	May 16, 2023
PINNACLE ASSOCIATES, LTD.	Owner	E	yes	05/2023	May 16, 2023	May 16, 2023

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
PINNACLE ASSOCIATES, LTD.	n/a	Mixed wealth	$10B	Y	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
Charlottesville	Va	United States	3	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
2022	Mar 22, 2023	$571M	$568M	10	7	1	n/a	n/a
2021	Mar 7, 2022	$691M	$688M	10	7	1	n/a	n/a
2020	Mar 22, 2021	$529M	$526M	11	7	1	n/a	n/a
2019	Mar 23, 2020	$510M	$507M	11	7	1	n/a	n/a
2018	Mar 19, 2019	$449M	$447M	11	7	1	n/a	n/a
2017	Mar 31, 2018	$491M	$489M	12	7	1	n/a	n/a
2016	Feb 23, 2017	$484M	$482M	12	7	n/a	n/a	n/a
2015	Feb 29, 2016	$437M	$435M	13	7	n/a	n/a	n/a
2014	Feb 12, 2015	$549M	$544M	15	8	n/a	n/a	n/a
2013	Mar 6, 2014	$697M	$693M	15	8	n/a	n/a	n/a
2012	Mar 13, 2013	$527M	$486M	14	9	n/a	n/a	n/a
2011	Mar 19, 2012	$410M	$381M	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
2022	$571M	$691M	-17.3%	$510M	3.9%	10	10	1	1

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
PINNACLE ASSOCIATES, LTD.	4	Dec 11, 2023	May 18, 2023	RICHMOND, VA	Firm absorbed	RIA to RIA	66.7%
DYNAMIS ADVISORS, LLC	2	Dec 11, 2023	Mar 23, 2007	RICHMOND, VA	Team lift out	Other	33.3%

Relationships

Affiliated with (2)

→ PINNACLE ASSOCIATES, LTD.Registered adviserother investment adviser, control, common control
factForm ADV
← DYNAMIS ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← PINNACLE ASSOCIATES, LTD.OwnerOWNER, ownership code E, domestic entity
May 16, 2023 to presentfactForm ADV
← GUNTER, BRADLEY, HUNTOwnerPRESIDENT/DIRECTOR, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV
← NEUHAUS, THOMAS, FRIEDICHOwnerDIRECTOR, PORTFOLIO MANAGER, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV
← MCVEY, GEORGE, JENNINGSOwnerDIRECTOR, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV
← BOCOCK, JOHN, HOLMESOwnerCHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV

Registered with (7)

← WILLIAM ERNEST SIZEMOREAdvisorregistration: previous registration
Feb 12, 2007 to Dec 11, 2023factForm ADV
← JOSEPH CORNELIUS GODSEYAdvisorregistration: previous registration
Jul 7, 2006 to Dec 11, 2023factForm ADV
← THOMAS FRIEDICH NEUHAUSAdvisorregistration: previous registration
Jul 31, 2001 to Dec 11, 2023factForm ADV
← GEORGE JENNINGS MCVEYAdvisorregistration: previous registration
Jul 24, 2000 to Dec 11, 2023factForm ADV
← JOHN HOLMES BOCOCKAdvisorregistration: previous registration
Aug 3, 2000 to Dec 11, 2023factForm ADV
← REGINALD GEORGE PICKRALAdvisorregistration: previous registration
Jun 6, 2014 to Dec 11, 2023factForm ADV
← Mark Andrew LevinAdvisorregistration: previous registration
Aug 23, 2007 to Feb 13, 2009factForm ADV

Moved with (2)

→ PINNACLE ASSOCIATES, LTD.Registered adviser4 advisors, firm absorbed, same day
Dec 11, 2023 to May 18, 2023factForm ADV
→ DYNAMIS ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Dec 11, 2023 to Mar 23, 2007factForm ADV

Dated events

Occurred
Dec 11, 2023
Firm absorbed
Investment Management OF Virginia, LLC's advisors moved to Pinnacle Associates, LTD. (Richmond, VA): 4 of 6 registered, on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Dec 11, 2023
Team lift-out
2 advisors left Investment Management OF Virginia, LLC (Richmond, VA) for Dynamis Advisors, LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Dec 11, 2023
Advisor changed firm
John Holmes Bocock left Investment Management Of Virginia, Llc for Dynamis Advisors, Llc (registered 2007-03-23)
Form ADVobserved 5 days ago
Occurred
Dec 11, 2023
Advisor changed firm
Joseph Cornelius Godsey left Investment Management Of Virginia, Llc for Pinnacle Associates, Ltd. (registered 2023-05-18)
Form ADVobserved 5 days ago
Occurred
Dec 11, 2023
Advisor changed firm
George Jennings Mcvey left Investment Management Of Virginia, Llc for Dynamis Advisors, Llc (registered 2007-03-23)
Form ADVobserved 5 days ago
Occurred
Dec 11, 2023
Advisor changed firm
Thomas Friedich Neuhaus left Investment Management Of Virginia, Llc for Pinnacle Associates, Ltd. (registered 2023-05-18)
Form ADVobserved 5 days ago
Occurred
Dec 11, 2023
Advisor changed firm
William Ernest Sizemore left Investment Management Of Virginia, Llc for Pinnacle Associates, Ltd. (registered 2023-05-18)
Form ADVobserved 5 days ago
Occurred
Dec 11, 2023
Advisor changed firm
Reginald George Pickral left Investment Management Of Virginia, Llc for Pinnacle Associates, Ltd. (registered 2023-05-18)
Form ADVobserved 5 days ago
Occurred
Mar 7, 2022
Regulatory AUM changed
Investment Management Of Virginia, Llc reported RAUM $691.1M, up 31% from $528.6M (2021-10-05 to 2022-03-07)
Form ADVobserved 5 days ago
$162M
Occurred
Sep 1, 2021
Control person left
Hodges Catherine Newins (Chief Compliance Officer) no longer on Schedule A of Investment Management Of Virginia, Llc (listed 2021-03-22, absent 2021-09-01)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4ddd018-205b-ae57-24ca-ad5ae8fced3e
First observed: Mar 19, 2012
Last observed: May 16, 2023 40 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.

INVESTMENT MANAGEMENT OF VIRGINIA, LLC

CRD 108687

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:e4ddd018-205b-ae57-24ca-ad5ae8fced3e

Data as of May 16, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:23 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOCOCK, JOHN, HOLMES

CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER

yes

07/2000

Mar 19, 2012

May 16, 2023

GUNTER, BRADLEY, HUNT

PRESIDENT/DIRECTOR

yes

07/2000

Mar 19, 2012

May 16, 2023

MCVEY, GEORGE, JENNINGS

DIRECTOR, CHIEF FINANCIAL OFFICER

yes

07/2000

Mar 19, 2012

May 16, 2023

NEUHAUS, THOMAS, FRIEDICH

DIRECTOR, PORTFOLIO MANAGER

yes

01/2012

Mar 19, 2012

May 16, 2023

PINNACLE ASSOCIATES, LTD.

Owner

yes

05/2023

May 16, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PINNACLE ASSOCIATES, LTD.

n/a

Mixed wealth

$10B

yes

n/a

City

State

Country

Employees

Also broker-dealer

Charlottesville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 22, 2023

$571M

$568M

n/a

2021

Mar 7, 2022

$691M

$688M

n/a

2020

Mar 22, 2021

$529M

$526M

n/a

2019

Mar 23, 2020

$510M

$507M

n/a

2018

Mar 19, 2019

$449M

$447M

n/a

2017

Mar 31, 2018

$491M

$489M

n/a

2016

Feb 23, 2017

$484M

$482M

n/a

2015

Feb 29, 2016

$437M

$435M

n/a

2014

Feb 12, 2015

$549M

$544M

n/a

2013

Mar 6, 2014

$697M

$693M

n/a

2012

Mar 13, 2013

$527M

$486M

n/a

2011

Mar 19, 2012

$410M

$381M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$571M

$691M

-17.3%

$510M

3.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PINNACLE ASSOCIATES, LTD.

Dec 11, 2023

May 18, 2023

RICHMOND, VA

Firm absorbed

RIA to RIA

66.7%

DYNAMIS ADVISORS, LLC

Dec 11, 2023

Mar 23, 2007

RICHMOND, VA

Team lift out

Other

33.3%