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.
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SEC-registered adviser
B•••••••••
Wealth manager with institutional or fund businessRichmond, VirginiaCRD 105142SEC 801-6691websiteIAPD
Legal name L•••• B••••••••• • C••••••• I•••
Latest filing May 13, 2026
First filing on the tape Mar 29, 2012 · 35 filings
SEC status approved since Jul 1, 1970
RAUM
$5.5B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
42%
$2.3B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$366M
derived; firm RAUM over IAPD count
Employees
31
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
58
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$5.5B as of May 13, 2026
Mar 29, 2012$1.6B then
HNW client RAUM$2.3B as of May 13, 2026
Mar 28, 2018$861M then
State-registered IARs (5.B.3)15 as of May 13, 2026
Apr 1, 201311 then
Employees (5.A)31 as of May 13, 2026
Apr 1, 201321 then
Private funds58 as of May 13, 2026
Mar 29, 20121 then
RAUM +0.8% over the last fiscal year+9.0% a year over threeIARs 15 to 15
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
- RAUM per advisor
- $366MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $9.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $1.9B, 146 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.3B42%
- Pooled investment vehicles$1.5B27%
- Charitable organizations$834M15%
- State and municipal entities$554M10%
- Corporations and businesses$209M3.8%
- Investment companies$65.8M1.2%
- Individuals$33.9M0.6%
- Pension and profit-sharing plans$17.7M0.3%
- Individual clients
- 118reported
- HNW clients
- 364reported
- Pension plan clients
- 3reported
- Charitable clients
- 41reported
- Accounts
- 568reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9B for 146 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.42 fund_share=0.28 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• B••••••••• I•• | Richmond, Va | Aug 7, 1987 | 56 y | 0 |
| C•••••• M••••• C•••••••Chartered Financial Analyst | Richmond, Va | Jun 22, 1993 | 37 y | 0 |
| W•••••• R•••••••• C••••••••Chartered Financial Analyst | Richmond, Va | Jul 12, 1993 | 43 y | 0 |
| D•••• A•••• L••••Chartered Financial Analyst | Richmond, Va | Jun 25, 1996 | 32 y | 0 |
| R••••• R••••••• B••••Chartered Financial Analyst | Richmond, Va | Oct 16, 1996 | 30 y | 0 |
| A••••• B••••••••• I•Chartered Financial Analyst | Richmond, Va | May 31, 2001 | 33 y | 0 |
| J••• R•• B•••••Chartered Financial Analyst | Richmond, Va | Jul 22, 2010 | 26 y | 0 |
| J••••• A•••• J•••••••Chartered Financial Analyst | Richmond, Va | Mar 21, 2011 | 27 y | 0 |
| M•••••• P••••• S•••• | Richmond, Va | May 28, 2014 | 15 y | 1 |
| C••••••••• J••• D•••Chartered Financial Analyst | Richmond, Va | Jul 14, 2014 | 14 y | 0 |
| R•••••• H••••• S••••••••• | Richmond, Va | Feb 10, 2016 | 33 y | 1 |
| W••••• S•••••• R•••••••• | Richmond, Va | Aug 4, 2017 | 21 y | 1 |
| C••••••••• B•••• C•••••••••Chartered Financial Analyst | Richmond, Va | Jan 15, 2019 | 21 y | 2 |
| S••••••• B••••••••• L•••Certified Financial Planner | Richmond, Va | Oct 19, 2020 | 11 y | 4 |
| M••••• K••••• K•••Chartered Financial Analyst | Richmond, Va | Jul 2, 2021 | 12 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
- T••• S••••••• W••••• to L•• F•••••••• L••Aug 2, 2019 · RIA to affiliated broker-dealer or bank
- T•••••• C•••• C••• to T•• C•••••• M••••••••• C•••••••••Dec 11, 2002 · Other
Joined, latest
- S••••••• B••••••••• L••• from B••• S••••••••• L••Oct 19, 2020 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• B•••• C••••••••• from M••••• S•••••• • C•• L••Jan 15, 2019 · Other
- W••••• S•••••• R•••••••• from S•••• • S••••••••• L••Aug 4, 2017 · Other
- R•••••• H••••• S••••••••• from E•••• A•••• M••••••••• I••Feb 10, 2016 · Other
- T••• S••••••• W••••• from N••••••••• I••••••••• A•••••••• L••Jul 24, 2014 · Other
- M•••••• P••••• S•••• from C••• S••••• P•••••••May 28, 2014 · Other
Private funds
69 reported on Schedule D 7.B.(1)
All funds of B•••••••••
Owners and control persons
Schedule A and B, latest filing
- B••••••••• I••• A••••• · Managing Director & Chairman Of The Boardcontrolsince 07/1970 · owns less than 5%
- B••••••••• I•• A••••• · Managing Director; President; Executive Committeecontrolsince 12/2005 · owns less than 5%
- C•••••••• C••••••• M••••• · Managing Director & Secretary; Executive Committeecontrolsince 12/1998 · owns 5% to 10%
- D•••• C••••••••• J••• · Managing Director; Executive Committeecontrolsince 12/2021 · owns less than 5%
- L••••• D••••• A•••• · Chief Compliance Officer (01/2021); Executive Committee Committeecontrolsince 09/2000 · owns 5% to 10%
- R••••••••• W•••••• S•••••• · Managing Director; Executive Committeecontrolsince 09/2016 · owns less than 5%
- B••••••••• I•• A••••• · Trusteecontrolsince 01/2005 · owns 75% or more of 2••• T••••
- B••••••••• I•• A••••• · Trusteecontrolsince 01/2019 · owns 75% or more of 2••• D•••••• T••••
Entity owners
- 2••• T•••• · Ownerdirect · owns 10% to 25%
- 2••• D•••••• T•••• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- B•••••• C••••• L••pooled vehicle sponsory
- B•••••• P••••• L••pooled vehicle sponsory
- B•••• B•••••••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 15 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- many p•••••• funds relative to firm sizeStatic outlier · filing May 13, 2026private funds per $1B of RAUM of 10.6 against a peer median of 0.9 (58 comparable advisers, 98.0th percentile, 11.6 robust deviations)peers: independent wealth managers, $5B to $20B (58) · 98% percentile
- control person changedChange between filings · filing May 13, 2026B••••••••• I•• A••••• (TRUSTEE) left Schedule A between the filings of 2022-03-31 and 2026-05-13peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing May 13, 2026D•••• C••••••••• J••• (MANAGING DIRECTOR; EXECUTIVE COMMITTEE) left Schedule A between the filings of 2022-03-31 and 2026-05-13peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing May 13, 2026R••••••••• W•••••• S•••••• (MANAGING DIRECTOR; EXECUTIVE COMMITTEE) left Schedule A between the filings of 2022-03-31 and 2026-05-13peers: independent wealth managers, $5B to $20B (289)
- account count collapseChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 1,162.0 to 568.0 (-51.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +8.0% (253 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $5B to $20B (253) · 2.4% percentile
What changed
consecutive filings, newest first
- Accounts · 1,162 to 568Aug 22, 2025 to Mar 27, 2026
- BD registered reps · 1 to 0Aug 22, 2025 to Mar 27, 2026
- Charity clients · 36 to 41Aug 22, 2025 to Mar 27, 2026
- Corporate clients · 18 to 20Aug 22, 2025 to Mar 27, 2026
- HNW clients · 360 to 364Aug 22, 2025 to Mar 27, 2026
- Individual clients · 113 to 118Aug 22, 2025 to Mar 27, 2026
- Pension plan clients · 4 to 3Aug 22, 2025 to Mar 27, 2026
- Pooled vehicle clients · 18 to 20Aug 22, 2025 to Mar 27, 2026
- Assets in custody · $2.4B to $1.9BAug 22, 2025 to Mar 27, 2026
- Employees · 32 to 31Aug 22, 2025 to Mar 27, 2026
- Private funds · 54 to 58Aug 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $4.9B to $4.8BAug 22, 2025 to Mar 27, 2026
- HNW RAUM · $2.0B to $2.3BAug 22, 2025 to Mar 27, 2026
- Individual RAUM · $31.6M to $33.9MAug 22, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $587M to $657MAug 22, 2025 to Mar 27, 2026
- Pension RAUM · $24.8M to $17.7MAug 22, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.2B to $1.5BAug 22, 2025 to Mar 27, 2026
- RAUM · $5.4B to $5.5BAug 22, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Jun 25, 2025 to Aug 22, 2025
- Accounts · 1,129 to 1,162Sep 26, 2024 to Mar 27, 2025
- HNW clients · 345 to 360Sep 26, 2024 to Mar 27, 2025
- Individual clients · 119 to 113Sep 26, 2024 to Mar 27, 2025
- Pooled vehicle clients · 16 to 18Sep 26, 2024 to Mar 27, 2025
- Assets in custody · $2.2B to $2.4BSep 26, 2024 to Mar 27, 2025
- Employees · 31 to 32Sep 26, 2024 to Mar 27, 2025
- Private funds · 48 to 54Sep 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $4.3B to $4.9BSep 26, 2024 to Mar 27, 2025
- HNW RAUM · $1.8B to $2.0BSep 26, 2024 to Mar 27, 2025
- Individual RAUM · $33.4M to $31.6MSep 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $528M to $587MSep 26, 2024 to Mar 27, 2025
- Pension RAUM · $21.0M to $24.8MSep 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.1B to $1.2BSep 26, 2024 to Mar 27, 2025
- RAUM · $4.8B to $5.4BSep 26, 2024 to Mar 27, 2025
- Accounts · 1,059 to 1,129Oct 20, 2023 to Mar 28, 2024
- Advisory activities · 5 to 6Oct 20, 2023 to Mar 28, 2024
- BD registered reps · 0 to 1Oct 20, 2023 to Mar 28, 2024
- Charity clients · 34 to 36Oct 20, 2023 to Mar 28, 2024
- HNW clients · 340 to 345Oct 20, 2023 to Mar 28, 2024
- Individual clients · 128 to 119Oct 20, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2 to 16Oct 20, 2023 to Mar 28, 2024
Signals
1 dated events
- John Christopher Dion (Managing Director; Executive Committee) appeared on Schedule A of BrockenbroughMar 31, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Brockenbrough · Independent Sponsorsshared crd · capital_provider
- Brockenbrough · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/brockenbroughreportedpublic record, Form ADV, Sep 18, 2026
- Website
- JAMESTOWNFUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-288-0404reportedpublic record, Form ADV, May 13, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $366Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
B••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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