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Former SEC-registered adviser

C••••••••• P••••••• L••

Former SEC-registered adviserCharlottesville, VirginiaCRD 118221SEC 801-61507IAPD
Latest filing Mar 27, 2020
First filing on the tape Mar 16, 2012 · 14 filings
RAUM
$8.9B
reported, Item 5.F
Discretionary
63%
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
23
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$8.9B as of Mar 27, 2020
Mar 16, 2012$4.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 16, 20120 then
Employees (5.A)23 as of Mar 27, 2020
Mar 20, 201312 then
Private funds: no history
RAUM -10% over the last fiscal year-0.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2020; 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
$688MderivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-10%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$8.9B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
13reported
Accounts
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• S••••• B••••••• · Managing Director, Membercontrol
        since 01/2015 · owns 10% to 25%
      • L••••• C••••••••• C••••••• · Senior Managing Director, Membercontrol
        since 01/2011 · owns 10% to 25%
      • R••••••• D••••• A••••• · Senior Managing Director, Membercontrol
        since 01/2014 · owns 10% to 25%
      • S•••••••• K••••• W•••••• · Senior Managing Director, Membercontrol
        since 10/2009 · owns 10% to 25%
      • B•••••• P••••• C•••••• · Retired, Member
        since 07/1997 · owns 5% to 10%
      • H••••••••• K••••••• L••••••• · Managing Director Of Operations, Member
        since 01/2015 · owns 5% to 10%
      • L••••• D•••••• N•• · Retired, Member
        since 07/1997 · owns 5% to 10%
      • P••• J•• J••••• N•• · Managing Director, Member
        since 01/2018 · owns 5% to 10%
      • R••••• M••••• G••••••• · Managing Director, Cco, Member
        since 01/2015 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 13
        Mar 20, 2019 to Mar 27, 2020
      • Charity clients · 14 to 13
        Mar 20, 2019 to Mar 27, 2020
      • Discretionary RAUM · $5.0B to $5.6B
        Mar 20, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $4.9B to $3.3B
        Mar 20, 2019 to Mar 27, 2020
      • RAUM · $9.9B to $8.9B
        Mar 20, 2019 to Mar 27, 2020
      • Accounts · 13 to 14
        Mar 30, 2018 to Mar 20, 2019
      • Advisory employees · 12 to 13
        Mar 30, 2018 to Mar 20, 2019
      • Charity clients · 13 to 14
        Mar 30, 2018 to Mar 20, 2019
      • Employees · 20 to 23
        Mar 30, 2018 to Mar 20, 2019
      • Discretionary RAUM · $4.9B to $5.0B
        Mar 30, 2018 to Mar 20, 2019
      • Non-discretionary RAUM · $5.1B to $4.9B
        Mar 30, 2018 to Mar 20, 2019
      • RAUM · $10B to $9.9B
        Mar 30, 2018 to Mar 20, 2019
      • Accounts · 12 to 13
        Mar 27, 2017 to Mar 30, 2018
      • Advisory employees · 13 to 12
        Mar 27, 2017 to Mar 30, 2018
      • Advisory activities · 3 to 2
        Mar 27, 2017 to Mar 30, 2018
      • Charity clients · unset to 13.0
        Mar 27, 2017 to Mar 30, 2018
      • Employees · 21 to 20
        Mar 27, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 27, 2017 to Mar 30, 2018
      • Discretionary RAUM · $3.6B to $4.9B
        Mar 27, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $5.5B to $5.1B
        Mar 27, 2017 to Mar 30, 2018
      • RAUM · $9.1B to $10B
        Mar 27, 2017 to Mar 30, 2018
      • Advisory employees · 11 to 13
        Mar 18, 2016 to Mar 27, 2017
      • Employees · 18 to 21
        Mar 18, 2016 to Mar 27, 2017
      • Discretionary RAUM · $1.7B to $3.6B
        Mar 18, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $7.0B to $5.5B
        Mar 18, 2016 to Mar 27, 2017
      • RAUM · $8.8B to $9.1B
        Mar 18, 2016 to Mar 27, 2017
      • Accounts · 11 to 12
        Apr 29, 2015 to Mar 18, 2016
      • Employees · 17 to 18
        Apr 29, 2015 to Mar 18, 2016
      • Discretionary RAUM · $1.5B to $1.7B
        Apr 29, 2015 to Mar 18, 2016
      • Non-discretionary RAUM · $7.2B to $7.0B
        Apr 29, 2015 to Mar 18, 2016
      • RAUM · $8.7B to $8.8B
        Apr 29, 2015 to Mar 18, 2016
      • Accounts · 9 to 11
        Mar 27, 2014 to Mar 27, 2015
      • Advisory employees · 10 to 11
        Mar 27, 2014 to Mar 27, 2015
      • Employees · 14 to 17
        Mar 27, 2014 to Mar 27, 2015
      • Discretionary RAUM · $750M to $1.5B
        Mar 27, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $5.4B to $7.2B
        Mar 27, 2014 to Mar 27, 2015
      • RAUM · $6.2B to $8.7B
        Mar 27, 2014 to Mar 27, 2015
      • Accounts · 7 to 9
        Mar 20, 2013 to Mar 27, 2014
      • Employees · 12 to 14
        Mar 20, 2013 to Mar 27, 2014
      • Discretionary RAUM · $116M to $750M
        Mar 20, 2013 to Mar 27, 2014
      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