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.

Former SEC-registered adviser

Davidson & Garrard Inc

Former SEC-registered adviserLynchburg, VirginiaCRD 105206SEC 801-28022IAPD
Latest filing Aug 8, 2017
First filing on the tape Mar 6, 2012 · 13 filings
RAUM
$685M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$685M as of Mar 30, 2017
Mar 6, 2012$439M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 19, 20130 then
Employees (5.A)12 as of Mar 30, 2017
Mar 19, 201310 then
Private funds: no history
RAUM +5.0% over the last fiscal year+4.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 8, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$511,818derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+5.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 5.G
Custody
$6.6M, 2 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,338reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$6.6M for 2 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Stephen Crank · Director-Secretarycontrol
        since 10/2000 · owns 10% to 25%
      • Morton John Flippin · Director - Treasurercontrol
        since 07/2015 · owns 10% to 25%
      • Jerit David Hansen · Director-Vice Presidentcontrol
        since 07/2015 · owns 10% to 25%
      • Winfree William Paxton · Director - Presidentcontrol
        since 10/2000 · owns 10% to 25%
      • Adams Annette Bradley · Chief Compliance Officer
        since 03/2013 · owns less than 5%
      • Matthew Glenn Guard · Stockholder
        since 01/2008 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Lexington, VA
      • Vienna, VA
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        Mar 30, 2017 to Aug 8, 2017
      • Related broker-dealer · false to true
        Mar 30, 2017 to Aug 8, 2017
      • Accounts · 1,277 to 1,338
        Oct 3, 2016 to Mar 30, 2017
      • Assets in custody · $5.0M to $6.6M
        Oct 3, 2016 to Mar 30, 2017
      • Financial planning clients · 11-25 to 26-50
        Oct 3, 2016 to Mar 30, 2017
      • Discretionary RAUM · $648M to $680M
        Oct 3, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $4.0M to $5.2M
        Oct 3, 2016 to Mar 30, 2017
      • RAUM · $652M to $685M
        Oct 3, 2016 to Mar 30, 2017
      • Accounts · 1,193 to 1,277
        Nov 9, 2015 to Mar 30, 2016
      • Advisory employees · 11 to 10
        Nov 9, 2015 to Mar 30, 2016
      • Assets in custody · $5.2M to $5.0M
        Nov 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $694M to $648M
        Nov 9, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $0 to $4.0M
        Nov 9, 2015 to Mar 30, 2016
      • RAUM · $694M to $652M
        Nov 9, 2015 to Mar 30, 2016
      • Accounts · 1,141 to 1,193
        Mar 28, 2014 to Mar 26, 2015
      • Advisory employees · 10 to 11
        Mar 28, 2014 to Mar 26, 2015
      • Assets in custody · $5.2M to $5.2M
        Mar 28, 2014 to Mar 26, 2015
      • Employees · 11 to 12
        Mar 28, 2014 to Mar 26, 2015
      • Financial planning clients · 1-10 to 11-25
        Mar 28, 2014 to Mar 26, 2015
      • Discretionary RAUM · $609M to $694M
        Mar 28, 2014 to Mar 26, 2015
      • RAUM · $609M to $694M
        Mar 28, 2014 to Mar 26, 2015
      • Accounts · 1,063 to 1,141
        Sep 6, 2013 to Mar 27, 2014
      • Advisory employees · 9 to 10
        Sep 6, 2013 to Mar 27, 2014
      • Advisory activities · 5 to 6
        Sep 6, 2013 to Mar 27, 2014
      • Assets in custody · $2.9M to $5.2M
        Sep 6, 2013 to Mar 27, 2014
      • Employees · 10 to 11
        Sep 6, 2013 to Mar 27, 2014
      • Discretionary RAUM · $509M to $609M
        Sep 6, 2013 to Mar 27, 2014
      • RAUM · $509M to $609M
        Sep 6, 2013 to Mar 27, 2014
      • Accounts · 976 to 1,063
        Mar 28, 2012 to Mar 19, 2013
      • Advisory employees · unset to 9.0
        Mar 28, 2012 to Mar 19, 2013
      • Assets in custody · $2.4M to $2.9M
        Mar 28, 2012 to Mar 19, 2013
      • Employees · unset to 10.0
        Mar 28, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Mar 28, 2012 to Mar 19, 2013
      • Discretionary RAUM · $439M to $509M
        Mar 28, 2012 to Mar 19, 2013
      • RAUM · $439M to $509M
        Mar 28, 2012 to Mar 19, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026