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

Catawba Capital Management Inc

Former SEC-registered adviserRoanoke, VirginiaCRD 107133SEC 801-41334IAPD
Latest filing May 14, 2018
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$820M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.1B as of Mar 15, 2018
Mar 28, 2012$906M then
HNW client RAUM: $735M
State-registered IARs (5.B.3)4 as of Mar 15, 2018
Mar 28, 20120 then
Employees (5.A)10 as of Mar 15, 2018
Mar 26, 20137 then
Private funds: no history
RAUM +4.9% over the last fiscal year+1.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 14, 2018; every figure names its basis
RAUM per advisor
$266MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
110derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.1MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.9%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, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$735M69%
  • Corporations and businesses$150M14%
  • Individuals$85.6M8.0%
  • Charitable organizations$75.5M7.1%
  • Pension and profit-sharing plans$17.4M1.6%
Individual clients
295reported
HNW clients
144reported
Pension plan clients
10reported
Charitable clients
27reported
Accounts
688reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • H Terence Crowgey · Presidentcontrol
        since 07/2007 · owns 50% to 75%
      • Edward John Gray · Senior Vice President And Portfolio Managercontrol
        since 03/2006 · owns less than 5%
      • Jay Raymond Irons · Senior Vice President,Chief Compliance Officercontrol
        since 01/2005 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        Mar 15, 2018 to May 11, 2018
      • Related broker-dealer · false to true
        Mar 15, 2018 to May 11, 2018
      • Accounts · 674 to 688
        Mar 22, 2017 to Mar 15, 2018
      • Charity clients · unset to 27.0
        Mar 22, 2017 to Mar 15, 2018
      • Corporate clients · unset to 17.0
        Mar 22, 2017 to Mar 15, 2018
      • HNW clients · unset to 144.0
        Mar 22, 2017 to Mar 15, 2018
      • Individual clients · unset to 295.0
        Mar 22, 2017 to Mar 15, 2018
      • Pension plan clients · unset to 10.0
        Mar 22, 2017 to Mar 15, 2018
      • Employees · 11 to 10
        Mar 22, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 15, 2018
      • Discretionary RAUM · $1.0B to $1.1B
        Mar 22, 2017 to Mar 15, 2018
      • HNW RAUM · unset to 734685627.0
        Mar 22, 2017 to Mar 15, 2018
      • Individual RAUM · unset to 85562806.0
        Mar 22, 2017 to Mar 15, 2018
      • Pension RAUM · unset to 17378727.0
        Mar 22, 2017 to Mar 15, 2018
      • RAUM · $1.0B to $1.1B
        Mar 22, 2017 to Mar 15, 2018
      • Accounts · 662 to 674
        Mar 18, 2016 to Mar 22, 2017
      • Employees · 12 to 11
        Mar 18, 2016 to Mar 22, 2017
      • Discretionary RAUM · $894M to $1.0B
        Mar 18, 2016 to Mar 22, 2017
      • RAUM · $894M to $1.0B
        Mar 18, 2016 to Mar 22, 2017
      • Accounts · 683 to 662
        Jul 20, 2015 to Mar 18, 2016
      • Employees · 11 to 12
        Jul 20, 2015 to Mar 18, 2016
      • Discretionary RAUM · $1.0B to $894M
        Jul 20, 2015 to Mar 18, 2016
      • RAUM · $1.0B to $894M
        Jul 20, 2015 to Mar 18, 2016
      • Accounts · 649 to 683
        Mar 19, 2014 to Mar 25, 2015
      • Discretionary RAUM · $997M to $1.0B
        Mar 19, 2014 to Mar 25, 2015
      • RAUM · $997M to $1.0B
        Mar 19, 2014 to Mar 25, 2015
      • Accounts · 648 to 649
        Mar 26, 2013 to Mar 19, 2014
      • Employees · 7 to 11
        Mar 26, 2013 to Mar 19, 2014
      • State-registered IARs · 3 to 4
        Mar 26, 2013 to Mar 19, 2014
      • Discretionary RAUM · $924M to $997M
        Mar 26, 2013 to Mar 19, 2014
      • RAUM · $924M to $997M
        Mar 26, 2013 to Mar 19, 2014
      • Accounts · 627 to 648
        May 25, 2012 to Mar 26, 2013
      • Advisory employees · unset to 3.0
        May 25, 2012 to Mar 26, 2013
      • Employees · unset to 7.0
        May 25, 2012 to Mar 26, 2013
      • State-registered IARs · 0 to 3
        May 25, 2012 to Mar 26, 2013
      • Discretionary RAUM · $906M to $924M
        May 25, 2012 to Mar 26, 2013
      • RAUM · $906M to $924M
        May 25, 2012 to Mar 26, 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