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

Bb&T Institutional Investment Advisers, Inc.

Former SEC-registered adviserGreenville, South CarolinaCRD 106156SEC 801-42913IAPD
Latest filing Apr 21, 2020
First filing on the tape Mar 28, 2012 · 30 filings
RAUM
$9.0B
reported, Item 5.F
Discretionary
49%
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
54
53 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$9.0B as of Mar 31, 2020
Mar 28, 2012$1.3B then
HNW client RAUM: $337M
State-registered IARs (5.B.3)48 as of Mar 31, 2020
Feb 25, 201310 then
Employees (5.A)54 as of Mar 31, 2020
Feb 25, 201315 then
Private funds: no history
RAUM +22% over the last fiscal year+14% a year over threeIARs 51 to 48
Practice profile
derived from the filing of Apr 21, 2020; every figure names its basis
RAUM per advisor
$187MderivedRAUM 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
$9.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
49%derivedof RAUM
Institutional
91%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
2.5derived19 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
-5.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$7.8B87%
  • Corporations and businesses$843M9.4%
  • State and municipal entities$181M2.0%
  • Charitable organizations$157M1.7%
  • Banks and thrifts$7.0M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
959reported
Charitable clients
6reported
Accounts
984reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • Arnold Charles Durham · Chief Compliance Officercontrol
      since 04/2020 · owns less than 5%
    • Andrew Christopher Furner · Chief Operating Officercontrol
      since 02/2019 · owns less than 5%
    • Jeffrey Charles Hancock · Chairmancontrol
      since 09/2017 · owns less than 5%
    • A. Christopher Jones · Presidentcontrol
      since 01/2013 · owns less than 5%
    • Edwin Roger Lieber · Directorcontrol
      since 06/2016 · owns less than 5%
    • Henley William Shawcross · Directorcontrol
      since 01/2013 · owns less than 5%
    • Francis John Shope · Directorcontrol
      since 01/2013 · owns less than 5%
    • Millard Stephen Yarbrough · Directorcontrol
      since 03/2020 · owns less than 5%
    Entity owners
    • Truist Bank · Shareholder
      direct · owns 75% or more
    • Truist Financial Corporation · Shareholder
      indirect · owns 75% or more of Truist Bank · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Bb&T Institutional Investment Advisers, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Greensboro, NC9 employees
    • Raleigh, NC8 employees
    • Wyomissing, PA6 employees
    • Charlotte, NC4 employees
    • West Chester, PA4 employees
    • Charleston, WV3 employees
    • Louisville, KY2 employees
    • Mclean, VA2 employees
    • Lancaster, PA1 employees
    • Winter Park, FL1 employees
    • Gaithersburg, MD1 employees
    • Atlanta, GA1 employees
    • Baltimore, MD1 employees
    • Bethesda, MD1 employees
    • Birmingham, AL1 employees
    • Chattanooga, TN1 employees
    • Fairfax, VA1 employees
    • Allentown, PA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 734 to 984
      Nov 25, 2019 to Mar 31, 2020
    • Advisory employees · 56 to 53
      Nov 25, 2019 to Mar 31, 2020
    • Pension plan clients · 712 to 959
      Nov 25, 2019 to Mar 31, 2020
    • Employees · 57 to 54
      Nov 25, 2019 to Mar 31, 2020
    • State-registered IARs · 51 to 48
      Nov 25, 2019 to Mar 31, 2020
    • Discretionary RAUM · $3.8B to $4.4B
      Nov 25, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $3.6B to $4.6B
      Nov 25, 2019 to Mar 31, 2020
    • Pension RAUM · $6.0B to $7.8B
      Nov 25, 2019 to Mar 31, 2020
    • RAUM · $7.3B to $9.0B
      Nov 25, 2019 to Mar 31, 2020
    • Accounts · 641 to 734
      Dec 19, 2018 to Mar 29, 2019
    • Advisory employees · 57 to 56
      Dec 19, 2018 to Mar 29, 2019
    • Pension plan clients · 619 to 712
      Dec 19, 2018 to Mar 29, 2019
    • Employees · 58 to 57
      Dec 19, 2018 to Mar 29, 2019
    • State-registered IARs · 52 to 51
      Dec 19, 2018 to Mar 29, 2019
    • Other offices · 20 to 18
      Dec 19, 2018 to Mar 29, 2019
    • Discretionary RAUM · $4.4B to $3.8B
      Dec 19, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $3.9B to $3.6B
      Dec 19, 2018 to Mar 29, 2019
    • Pension RAUM · $6.8B to $6.0B
      Dec 19, 2018 to Mar 29, 2019
    • RAUM · $8.3B to $7.3B
      Dec 19, 2018 to Mar 29, 2019
    • Accounts · 764 to 641
      Dec 13, 2018 to Dec 19, 2018
    • Charity clients · 192 to 6
      Dec 13, 2018 to Dec 19, 2018
    • Corporate clients · 22 to 6
      Dec 13, 2018 to Dec 19, 2018
    • HNW clients · 54.0 to unset
      Dec 13, 2018 to Dec 19, 2018
    • Individual clients · 28.0 to unset
      Dec 13, 2018 to Dec 19, 2018
    • Pension plan clients · 427 to 619
      Dec 13, 2018 to Dec 19, 2018
    • Discretionary RAUM · $3.8B to $4.4B
      Dec 13, 2018 to Dec 19, 2018
    • HNW RAUM · 336957675.0 to unset
      Dec 13, 2018 to Dec 19, 2018
    • Individual RAUM · 6122919.0 to unset
      Dec 13, 2018 to Dec 19, 2018
    • Non-discretionary RAUM · $3.4B to $3.9B
      Dec 13, 2018 to Dec 19, 2018
    • Pension RAUM · $5.8B to $6.8B
      Dec 13, 2018 to Dec 19, 2018
    • RAUM · $7.2B to $8.3B
      Dec 13, 2018 to Dec 19, 2018
    • Accounts · 795 to 764
      May 8, 2017 to Mar 2, 2018
    • Advisory employees · 49 to 57
      May 8, 2017 to Mar 2, 2018
    • Charity clients · unset to 192.0
      May 8, 2017 to Mar 2, 2018
    • Corporate clients · unset to 22.0
      May 8, 2017 to Mar 2, 2018
    • HNW clients · unset to 54.0
      May 8, 2017 to Mar 2, 2018
    • Individual clients · unset to 28.0
      May 8, 2017 to Mar 2, 2018
    • Pension plan clients · unset to 427.0
      May 8, 2017 to Mar 2, 2018
    • Employees · 50 to 58
      May 8, 2017 to Mar 2, 2018
    • State-registered IARs · 40 to 52
      May 8, 2017 to Mar 2, 2018
    Signals
    10 dated events
    • Lee John Clark (Chief Compliance Officer) no longer on Schedule A of Bb&T Institutional Investment Advisers, Inc. (listed 2020-03-31, absent 2020-04-21)
      Apr 21, 2020 · Control person left · inference
    • Arnold Charles Durham (Chief Compliance Officer) appeared on Schedule A of Bb&T Institutional Investment Advisers, Inc.
      Apr 21, 2020 · Control person joined · fact
    • David James King (Chief Investment Officer) no longer on Schedule A of Bb&T Institutional Investment Advisers, Inc. (listed 2019-11-25, absent 2020-03-31)
      Mar 31, 2020 · Control person left · inference
    • D John Pulliam (Director) no longer on Schedule A of Bb&T Institutional Investment Advisers, Inc. (listed 2019-11-25, absent 2020-03-31)
      Mar 31, 2020 · Control person left · inference
    • Thomas Ralph Borrello (Director) no longer on Schedule A of Bb&T Institutional Investment Advisers, Inc. (listed 2019-11-25, absent 2020-03-31)
      Mar 31, 2020 · Control person left · inference
    • Millard Stephen Yarbrough (Director) appeared on Schedule A of Bb&T Institutional Investment Advisers, Inc.
      Mar 31, 2020 · Control person joined · fact
    • Andrew Christopher Furner (Chief Operating Officer) appeared on Schedule A of Bb&T Institutional Investment Advisers, Inc.
      Nov 25, 2019 · Control person joined · fact
    • Bryan Ralph Barany (Chief Operating Officer) no longer on Schedule A of Bb&T Institutional Investment Advisers, Inc. (listed 2018-12-19, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • Bb&T Institutional Investment Advisers, Inc. reported 52 state-registered advisory representatives, up from 40 (2017-05-08 to 2018-03-02)
      Mar 2, 2018 · Advisor headcount change · derived
    • Bb&T Institutional Investment Advisers, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jul 28, 2016 · Succession (Item 4) · fact
    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