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
Thompson Siegel & Walmsley LLC
Latest filing Apr 1, 2026
First filing on the tape Mar 29, 2012 · 42 filings
SEC status approved since Jan 17, 1970
RAUM
$21B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
5.5%
$1.2B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
63
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$21B as of Apr 1, 2026
Mar 29, 2012$6.8B then
HNW client RAUM$704M as of Apr 1, 2026
Mar 29, 2018$689M then
State-registered IARs (5.B.3)20 as of Apr 1, 2026
Mar 29, 20120 then
Employees (5.A)63 as of Apr 1, 2026
Mar 28, 201365 then
Private funds4 as of Apr 1, 2026
Mar 29, 20121 then
RAUM +1.6% over the last fiscal year+6.4% a year over threeIARs 19 to 20
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
- RAUM per advisor
- $1.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.7MderivedHNW RAUM over HNW clients
- Average account
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 19.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- 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, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $253M, 2 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$11B55%
- State and municipal entities$3.5B17%
- Pooled investment vehicles$2.6B13%
- Pension and profit-sharing plans$1.3B6.2%
- High-net-worth individuals$704M3.5%
- Individuals$467M2.3%
- Insurance companies$363M1.8%
- Charitable organizations$183M0.9%
- Corporations and businesses$2.4M0.0%
- Individual clients
- 156reported
- HNW clients
- 60reported
- Pension plan clients
- 14reported
- Charitable clients
- 24reported
- Accounts
- 4,481reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $944M managedreported
- Custody of client assets
- $253M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.06 fund_share=0.65 institutional_share=0.25 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Shelton HorsleyChartered Financial Analyst, Chartered Investment Counselor | Richmond, Va | Nov 7, 1994 | 32 y | 0 |
| Brandon Hayes HarrellChartered Financial Analyst | Richmond, Va | Nov 8, 1996 | 35 y | 0 |
| William Murray BellamyChartered Financial Analyst | Richmond, Va | Jan 22, 2003 | 34 y | 0 |
| Brett Phelan HawkinsChartered Financial Analyst | Richmond, Va | Nov 22, 2005 | 25 y | 0 |
| William Patrick Schubmehl | Richmond, Va | Nov 15, 2006 | 30 y | 0 |
| Gregory Gray GarlandChartered Financial Analyst | Richmond, Va | Jul 1, 2008 | 18 y | 0 |
| Stedman Davis OakeyChartered Financial Analyst | Richmond, Va | Apr 5, 2012 | 21 y | 0 |
| Stelious Nmn Antourakis | Richmond, Va | Dec 9, 2013 | 19 y | 0 |
| Sarah G InnesChartered Financial Analyst | Richmond, Va | Feb 1, 2016 | 11 y | 0 |
| Matthew Stafford SouleChartered Financial Analyst | Richmond, Va | Sep 16, 2016 | 10 y | 0 |
| Wayne Winborne Boyles | Richmond, Va | May 8, 2018 | 13 y | 1 |
| James Cody Tafel | Richmond, Va | Jun 11, 2020 | 20 y | 0 |
| Bryan Francis DurandChartered Financial Analyst | Richmond, Va | Jan 29, 2021 | 16 y | 0 |
| Stephen Yee Fai HoChartered Financial Analyst | Richmond, Va | Jul 29, 2022 | 13 y | 1 |
| John Peter MoranChartered Financial Analyst | Richmond, Va | Jul 6, 2023 | 10 y | 0 |
| Cody Neal Chapman | Richmond, Va | Jan 2, 2024 | 17 y | 2 |
| Bernard Michael Kroll | Richmond, Va | Jul 23, 2024 | 10 y | 2 |
| Richard Francis Williams | New York, Ny | Jun 12, 2025 | 11 y | 0 |
| Matthew Emanuel FernandezChartered Financial Analyst | Richmond, Va | Jun 17, 2025 | 10 y | 1 |
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 headcount1 left over 36 months
Left, latest
- Pieter Everett Van Saun to 3chopt Investment Partners LLCMay 19, 2025 · Other
- Stuart Preston Dillard to 3chopt Investment Partners LLCApr 19, 2022 · Other
- Jeremy Daniel Kokemor to Right Tail Capital LLCApr 1, 2022 · Other
- Frank Hartranft Reichel to Reichel Management Company LLCSep 30, 2021 · Other
- Elizabeth Jordan Hopkins to J.P. Morgan Securities LLCSep 27, 2021 · Other
- Thomas Broderick Mullins to Covenant Wealth AdvisorsOct 4, 2019 · Other
- Paul Aaron Ferwerda to Wilbanks, Smith & Thomas Asset Management, LLCOct 2, 2015 · Other
- Timothy Columbus Mccoy to The London Company Of VirginiaMay 23, 2011 · Other
- Alan Clark Ashworth to Advanced Investment PartnersJul 13, 2007 · Other
- James Knox Patrick to Citigroup Global Markets Inc.Dec 31, 2002 · Other
Joined, latest
- Bernard Michael Kroll from Spire Wealth Management, LLCJul 23, 2024 · Other
- Cody Neal Chapman from Punch & Associates Investment Management, Inc.Jan 2, 2024 · Other
- Stephen Yee Fai Ho from Wedge Capital Management LlpJul 29, 2022 · Other
- Elizabeth Jordan Hopkins from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 15, 2019 · Other
- Wayne Winborne Boyles from Touchstone Advisors IncMay 8, 2018 · Other
- Thomas Broderick Mullins from Davenport & Company LLCAug 15, 2016 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Wps Direct, LLC | Hedge Fund | $103M | 10 | Dec 1, 2022 |
| Wps Capital Fund, LLC | Hedge Fund | $99.4M | 33 | Mar 29, 2012 |
| Tsw Opportunities Fund LP | Hedge Fund | $3.7M | 0 | Dec 14, 2021 |
| Ts&W Investment Holdings LP | Other Private Fund | $1.6M | 0 | Dec 14, 2021 |
Owners and control persons
Schedule A and B, latest filing
- Winborne Wayne Boyles · Chief Compliance Officer; Executive Officercontrolsince 03/2018 · owns less than 5%
- Francis Bryan Durand · Portfolio Manager; Research Analyst; Executive Officer; Member Board Of Managerscontrolsince 01/2023 · owns less than 5%
- Mark Christopher Golden · Member Board Of Managerscontrolsince 01/2023 · owns less than 5%
- Phelan Brett Hawkins · Chief Investment Officercontrolsince 01/2015 · owns less than 5%
- Shelton John Horsley · Director Of Client Service; Executive Officer; Member Of Board Of Managerscontrolsince 01/2022 · owns less than 5%
- Jay Alan Lo Proto · Member Board Of Managerscontrolsince 07/2023 · owns less than 5%
- Alison Simone Mosse · Member Board Of Managerscontrolsince 01/2023 · owns less than 5%
- Craig Squires · Member Board Of Managerscontrolsince 01/2023 · owns less than 5%
- Everett Pieter Van Saun · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- Michael Joseph Vancaster · Chief Financial Officer; Executive Officer; Member Board Of Managerscontrolsince 09/2019 · owns less than 5%
Entity owners
- Pendal USA Inc. · Member Of Thompson, Siegel & Walmsley LLCdirect · owns 75% or more
- Pendal Group Limited · Shareholderindirect · owns 75% or more of Pendal USA Inc.
- Perpetual Acquisition Company Ltd. · Shareholderindirect · owns 75% or more of Pendal Group Limited
- Perpetual Limited · Shareholderindirect · owns 75% or more of Perpetual Acquisition Company Ltd.
Related persons
Schedule D 7.A
- Johcm (USA) Incinvestment advisernRAUM $9.0B
- Perpetual Limitedinvestment advisery
- Pgiainvestment advisern
- Tsw Opportunities Gp LLCpooled vehicle sponsory
- Wps Capital Management, LLCinvestment adviserpooled vehicle sponsory
- Ws&T Investment Holdings Gp LLCpooled vehicle sponsory
Advisers that list Thompson Siegel & Walmsley LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 19 | 0 | 0 | ||
| New York, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4,775 to 4,481May 16, 2025 to Dec 17, 2025
- Advisory employees · 32 to 31May 16, 2025 to Dec 17, 2025
- BD registered reps · 5 to 6May 16, 2025 to Dec 17, 2025
- HNW clients · 56 to 60May 16, 2025 to Dec 17, 2025
- Individual clients · 158 to 156May 16, 2025 to Dec 17, 2025
- Pension plan clients · 16 to 14May 16, 2025 to Dec 17, 2025
- Assets in custody · $208M to $253MMay 16, 2025 to Dec 17, 2025
- Employees · 68 to 63May 16, 2025 to Dec 17, 2025
- Financial planning clients · 0 to May 16, 2025 to Dec 17, 2025
- State-registered IARs · 19 to 20May 16, 2025 to Dec 17, 2025
- Discretionary RAUM · $20B to $20BMay 16, 2025 to Dec 17, 2025
- HNW RAUM · $645M to $704MMay 16, 2025 to Dec 17, 2025
- Individual RAUM · $460M to $467MMay 16, 2025 to Dec 17, 2025
- Non-discretionary RAUM · $850M to $1.2BMay 16, 2025 to Dec 17, 2025
- Pension RAUM · $1.5B to $1.3BMay 16, 2025 to Dec 17, 2025
- Pooled vehicle RAUM · $2.7B to $2.6BMay 16, 2025 to Dec 17, 2025
- RAUM · $21B to $21BMay 16, 2025 to Dec 17, 2025
- Wrap assets (manager) · $1.0B to $944MMay 16, 2025 to Dec 17, 2025
- Financial planning clients · 0 to 0Jan 2, 2025 to May 16, 2025
- Accounts · 4,950 to 4,775Sep 30, 2024 to Dec 3, 2024
- Advisory employees · 29 to 32Sep 30, 2024 to Dec 3, 2024
- Charity clients · 23 to 24Sep 30, 2024 to Dec 3, 2024
- HNW clients · 49 to 56Sep 30, 2024 to Dec 3, 2024
- Individual clients · 129 to 158Sep 30, 2024 to Dec 3, 2024
- Pension plan clients · 15 to 16Sep 30, 2024 to Dec 3, 2024
- Pooled vehicle clients · 15 to 14Sep 30, 2024 to Dec 3, 2024
- Assets in custody · $158M to $208MSep 30, 2024 to Dec 3, 2024
- Employees · 67 to 68Sep 30, 2024 to Dec 3, 2024
- State-registered IARs · 18 to 19Sep 30, 2024 to Dec 3, 2024
- Discretionary RAUM · $18B to $20BSep 30, 2024 to Dec 3, 2024
- HNW RAUM · $525M to $645MSep 30, 2024 to Dec 3, 2024
- Individual RAUM · $616M to $460MSep 30, 2024 to Dec 3, 2024
- Non-discretionary RAUM · $778M to $850MSep 30, 2024 to Dec 3, 2024
- Pension RAUM · $1.4B to $1.5BSep 30, 2024 to Dec 3, 2024
- Pooled vehicle RAUM · $2.4B to $2.7BSep 30, 2024 to Dec 3, 2024
- RAUM · $19B to $21BSep 30, 2024 to Dec 3, 2024
- Wrap assets (manager) · $942M to $1.0BSep 30, 2024 to Dec 3, 2024
- Accounts · 4,952 to 4,950Aug 17, 2023 to Dec 12, 2023
- Advisory employees · 30 to 29Aug 17, 2023 to Dec 12, 2023
- BD registered reps · 6 to 5Aug 17, 2023 to Dec 12, 2023
Signals
33 dated events
- Pieter Everett Van Saun left Thompson Siegel & Walmsley Llc for 3Chopt Investment Partners Llc (registered 2026-04-02)May 19, 2025 · Advisor changed firm · fact
- Jay Alan Lo Proto (Member Board Of Managers) appeared on Schedule A of Thompson Siegel & Walmsley LlcAug 17, 2023 · Control person joined · fact
- Lawrence John Reifsnider (Chief Executive Officer; Member Board Of Managers) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2023-03-17, absent 2023-08-17)Aug 17, 2023 · Control person left · inference
- Andrew David Lane (Member Board Of Managers) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2023-03-17, absent 2023-08-17)Aug 17, 2023 · Control person left · inference
- Francis Bryan Durand (Portfolio Manager; Research Analyst; Executive Officer; Member Board Of Managers) appeared on Schedule A of Thompson Siegel & Walmsley LlcFeb 16, 2023 · Control person joined · fact
- Alison Simone Mosse (Member Board Of Managers) appeared on Schedule A of Thompson Siegel & Walmsley LlcFeb 16, 2023 · Control person joined · fact
- Andrew David Lane (Member Board Of Managers) appeared on Schedule A of Thompson Siegel & Walmsley LlcFeb 16, 2023 · Control person joined · fact
- Mark Christopher Golden (Member Board Of Managers) appeared on Schedule A of Thompson Siegel & Walmsley LlcFeb 16, 2023 · Control person joined · fact
- Craig Squires (Member Board Of Managers) appeared on Schedule A of Thompson Siegel & Walmsley LlcFeb 16, 2023 · Control person joined · fact
- Wolfhendrik Kurt Stam (Head Of Product Strategy; Executive Officer) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2022-12-01, absent 2023-02-16)Feb 16, 2023 · Control person left · inference
- Paul Jonathan Weitz (Chief Operations Officer; Executive Officer) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2022-12-01, absent 2023-02-16)Feb 16, 2023 · Control person left · inference
- Land Deborah Denton (Chief Technology Officer; Executive Officer) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2022-12-01, absent 2023-02-16)Feb 16, 2023 · Control person left · inference
- Bindesh Savjani (Chief Risk Officer) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2022-12-01, absent 2023-02-16)Feb 16, 2023 · Control person left · inference
- Naomi Claudia Dumond-Henderson (Global Chief Human Resources Officer; Executive Officer) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2022-12-01, absent 2023-02-16)Feb 16, 2023 · Control person left · inference
- Thompson Siegel & Walmsley Llc reported RAUM $17.6B, down 26% from $23.9B (2022-04-26 to 2022-12-01)Dec 1, 2022 · RAUM change · derived
- Stuart Preston Dillard left Thompson Siegel & Walmsley Llc for 3Chopt Investment Partners Llc (registered 2022-04-14)Apr 19, 2022 · Advisor changed firm · fact
- Jeremy Daniel Kokemor left Thompson Siegel & Walmsley Llc for Right Tail Capital Llc (registered 2022-04-02)Apr 1, 2022 · Advisor changed firm · fact
- Nardulli Lori Anderson (Manager/Risk Manager/Director Of Operations) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2021-12-14, absent 2022-01-27)Jan 27, 2022 · Control person left · inference
- Michael Whateley Nicholas Good (Manager) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2021-12-14, absent 2022-01-27)Jan 27, 2022 · Control person left · inference
- Wolfhendrik Kurt Stam (Head Of Product Strategy; Executive Officer) appeared on Schedule A of Thompson Siegel & Walmsley LlcJan 27, 2022 · Control person joined · fact
- Paul Jonathan Weitz (Chief Operations Officer; Executive Officer) appeared on Schedule A of Thompson Siegel & Walmsley LlcJan 27, 2022 · Control person joined · fact
- Shelton John Horsley (Director Of Client Service; Executive Officer) appeared on Schedule A of Thompson Siegel & Walmsley LlcJan 27, 2022 · Control person joined · fact
- Land Deborah Denton (Chief Technology Officer; Executive Officer) appeared on Schedule A of Thompson Siegel & Walmsley LlcJan 27, 2022 · Control person joined · fact
- Bindesh Savjani (Chief Risk Officer) appeared on Schedule A of Thompson Siegel & Walmsley LlcJan 27, 2022 · Control person joined · fact
- Everett Pieter Van Saun (Director Of Operations) appeared on Schedule A of Thompson Siegel & Walmsley LlcJan 27, 2022 · Control person joined · fact
- Naomi Claudia Dumond-Henderson (Global Chief Human Resources Officer; Executive Officer) appeared on Schedule A of Thompson Siegel & Walmsley LlcJan 27, 2022 · Control person joined · fact
- S Surender Rana (Manager) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2021-03-29, absent 2021-08-13)Aug 13, 2021 · Control person left · inference
- Michael Whateley Nicholas Good (Manager) appeared on Schedule A of Thompson Siegel & Walmsley LlcAug 13, 2021 · Control person joined · fact
- Hartranft Frank Reichel (Manager/Chief Executive Officer) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2020-06-29, absent 2021-01-22)Jan 22, 2021 · Control person left · inference
- Pritchard Horace Whitworth (Chief Financial Officer) no longer on Schedule A of Thompson Siegel & Walmsley Llc (listed 2019-03-28, absent 2019-10-03)Oct 3, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Thompson Siegel & Walmsley LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/THOMPSON-SIEGEL-&-WALMSLEYreportedpublic record, Form ADV, Sep 17, 2026
- Website
- TSWINVEST.COM (PRIMARY FIRM WEBSITE)reportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 804-353-4500reportedpublic record, Form ADV, Apr 1, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026