DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Richmond Capital Management Inc
Latest filing Mar 26, 2026
First filing on the tape Mar 28, 2012 · 22 filings
SEC status approved since Sep 2, 1982
RAUM
$5.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.9%
$114M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$659M
derived; firm RAUM over IAPD count
Employees
20
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$5.9B as of Mar 26, 2026
Mar 28, 2012$5.5B then
HNW client RAUM$114M as of Mar 26, 2026
Jan 29, 2018$178M then
State-registered IARs (5.B.3)8 as of Mar 26, 2026
Mar 28, 20120 then
Employees (5.A)20 as of Mar 26, 2026
Feb 5, 201316 then
Private funds2 as of Mar 26, 2026
Mar 24, 20232 then
RAUM -3.3% over the last fiscal year+3.3% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $659MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $35.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 53%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B32%
- State and municipal entities$1.3B22%
- Pension and profit-sharing plans$1.3B22%
- Corporations and businesses$772M13%
- Charitable organizations$497M8.4%
- High-net-worth individuals$114M1.9%
- Insurance companies$86.3M1.5%
- Individual clients
- n/areported
- HNW clients
- 25reported
- Pension plan clients
- 28reported
- Charitable clients
- 33reported
- Accounts
- 166reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $14.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.32 institutional_share=0.53 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Elizabeth Mcdermott Harris | Richmond, Va | Aug 2, 1999 | 42 y | 0 |
| Howard Kyger BosChartered Financial Analyst | Richmond, Va | Oct 14, 1999 | 41 y | 0 |
| Roy Wheatley Mcdowell | Richmond, Va | Aug 1, 2001 | 38 y | 0 |
| Patton Howell RoarkChartered Financial Analyst | Richmond, Va | Sep 9, 2003 | 23 y | 0 |
| Otto Gregory Glatt | Richmond, Va | Apr 30, 2019 | 30 y | 0 |
| John Randolph Sides | Richmond, Va | Jul 22, 2019 | 15 y | 0 |
| Nicholas Todd SejnostChartered Financial Analyst | Richmond, Va | Jun 25, 2021 | 14 y | 0 |
| Stephen Mark RosaChartered Financial Analyst | Richmond, Va | Aug 20, 2021 | 13 y | 0 |
| Luis Contreras | Richmond, Va | Sep 3, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Proloan Bond Fund, LLC | Other Private Fund | $1.0B | 52 | Mar 28, 2012 |
| Rcm Construction Mbs Opportunities Fund, L.P. | Other Private Fund | $137M | 5 | Mar 24, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Lynn Beth Baron · Managing Directorcontrolsince 02/2007 · owns 5% to 10%
- Kyger Howard Bos · Presidentcontrolsince 12/2012 · owns 10% to 25%
- Ann Tammie Burks · Managing Directorcontrolsince 03/2022 · owns less than 5%
- Mcdermott Elizabeth Harris · Managing Directorcontrolsince 01/2002 · owns 10% to 25%
- Herman Paul Lundmark · Managing Directorcontrolsince 02/2007 · owns 10% to 25%
- Wheatley Roy Mcdowell · Managing Directorcontrolsince 02/2007 · owns 10% to 25%
- Howell Patton Roark · Managing Directorcontrolsince 02/2007 · owns 10% to 25%
- Bonner Geoffrey Sale · Chief Compliance Officercontrolsince 12/2012 · owns less than 5%
- Ann Linda Crocker · Vice Presidentsince 03/2022 · owns less than 5%
- Gregory Otto Glatt · Managing Directorsince 03/2022 · owns less than 5%
- Gates Lori Little · Vice Presidentsince 03/2022 · owns less than 5%
- William David Schultz · Managing Directorsince 03/2022 · owns less than 5%
- Randolph John Sides · Managing Directorsince 03/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 26, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-03-24, yes on the filing of 2026-03-26peers: other advisers, $5B to $20B (134)
What changed
consecutive filings, newest first
- Accounts · 175 to 166Mar 24, 2025 to Mar 26, 2026
- Charity clients · 35 to 33Mar 24, 2025 to Mar 26, 2026
- Corporate clients · 43 to 39Mar 24, 2025 to Mar 26, 2026
- HNW clients · 28 to 25Mar 24, 2025 to Mar 26, 2026
- Pension plan clients · 27 to 28Mar 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $6.1B to $5.9BMar 24, 2025 to Mar 26, 2026
- HNW RAUM · $126M to $114MMar 24, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $10.0M to $11.3MMar 24, 2025 to Mar 26, 2026
- Pension RAUM · $1.2B to $1.3BMar 24, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.7B to $1.9BMar 24, 2025 to Mar 26, 2026
- RAUM · $6.1B to $5.9BMar 24, 2025 to Mar 26, 2026
- Related bank · false to trueMar 24, 2025 to Mar 26, 2026
- Wrap assets (manager) · $13.8M to $14.7MMar 24, 2025 to Mar 26, 2026
- Accounts · 174 to 175Mar 19, 2024 to Mar 24, 2025
- Charity clients · 38 to 35Mar 19, 2024 to Mar 24, 2025
- HNW clients · 24 to 28Mar 19, 2024 to Mar 24, 2025
- Employees · 21 to 20Mar 19, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 24, 2025
- State-registered IARs · 13 to 8Mar 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $5.5B to $6.1BMar 19, 2024 to Mar 24, 2025
- HNW RAUM · $84.0M to $126MMar 19, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $48.5M to $10.0MMar 19, 2024 to Mar 24, 2025
- Pension RAUM · $1.2B to $1.2BMar 19, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $1.4B to $1.7BMar 19, 2024 to Mar 24, 2025
- RAUM · $5.6B to $6.1BMar 19, 2024 to Mar 24, 2025
- Wrap assets (manager) · $13.4M to $13.8MMar 19, 2024 to Mar 24, 2025
- Accounts · 199 to 174Mar 24, 2023 to Mar 19, 2024
- Charity clients · 45 to 38Mar 24, 2023 to Mar 19, 2024
- Corporate clients · 50 to 43Mar 24, 2023 to Mar 19, 2024
- HNW clients · 30 to 24Mar 24, 2023 to Mar 19, 2024
- Pension plan clients · 30 to 27Mar 24, 2023 to Mar 19, 2024
- Pooled vehicle clients · 2 to 3Mar 24, 2023 to Mar 19, 2024
- Discretionary RAUM · $5.4B to $5.5BMar 24, 2023 to Mar 19, 2024
- HNW RAUM · $110M to $84.0MMar 24, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $8.2M to $48.5MMar 24, 2023 to Mar 19, 2024
- Pension RAUM · $1.7B to $1.2BMar 24, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $815M to $1.4BMar 24, 2023 to Mar 19, 2024
- RAUM · $5.4B to $5.6BMar 24, 2023 to Mar 19, 2024
- Wrap assets (manager) · $12.7M to $13.4MMar 24, 2023 to Mar 19, 2024
- Accounts · 211 to 199Nov 10, 2022 to Mar 24, 2023
Signals
2 dated events
- Harold William Schultz (Managing Director) no longer on Schedule A of Richmond Capital Management Inc (listed 2022-03-31, absent 2022-06-27)Jun 27, 2022 · Control person left · inference
- Jackson Mark Walker (Managing Director) no longer on Schedule A of Richmond Capital Management Inc (listed 2018-01-29, absent 2019-03-20)Mar 20, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Richmond Capital Management Inc · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/richmond-capital-management-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- RICHMONDCAP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 804-379-8280reportedpublic record, Form ADV, Mar 26, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $659Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026