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

Suntrust Investment Services, Inc.

Former SEC-registered adviserAtlanta, GeorgiaCRD 17499SEC 801-56443IAPD
Latest filing Oct 12, 2016
First filing on the tape Jan 3, 2012 · 28 filings
RAUM
$10B
reported, Item 5.F
Discretionary
45%
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
1,368
1,349 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$10B as of Mar 17, 2016
Jan 3, 2012$5.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1,147 as of Mar 17, 2016
Jan 3, 20120 then
Employees (5.A)1,368 as of Mar 17, 2016
Feb 26, 20131,371 then
Private funds: no history
RAUM +5.3% over the last fiscal year+17% a year over threeIARs 1,260 to 1,147
Practice profile
derived from the filing of Oct 12, 2016; every figure names its basis
RAUM per advisor
$9.1MderivedRAUM 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
$389,077derivedRAUM over accounts (5.F.2.f)
Discretionary
45%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
191.2derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+5.3%derivedbetween the last two annual amendments
Advisor growth, one year
-9.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Financial planning clients
5,000reportedItem 5.H
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
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
26,841reported
Financial planning clients
5,000reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
  • Theodore Irving Bowden · Director, Chief Operating Officercontrol
    since 02/2013 · owns less than 5%
  • James Scott Hotham · Director, Executive Vice Presidentcontrol
    since 12/2015 · owns less than 5%
  • Charles Falconer III Mccallum · Directorcontrol
    since 03/2016 · owns less than 5%
  • Kenneth Rene Solis · Directorcontrol
    since 01/2015 · owns less than 5%
  • Felicia Ann Speetjens · Directorcontrol
    since 03/2016 · owns less than 5%
  • Joseph Marberry Thompson · Chairman Of The Board, President, Ceocontrol
    since 08/2014 · owns less than 5%
  • Thomas Mclemore Carroll · Director
    since 03/2016 · owns less than 5%
  • Brian Sean Dowhower · Director
    since 03/2016 · owns less than 5%
  • Willem-Jau Odo Hattink · Director
    since 02/2013 · owns less than 5%
  • Susan J Hechtlinger · Director, Chief Compliance Officer
    since 01/2010 · owns less than 5%
  • Cynthia Griffin Norville · Executive Vice President
    since 02/2016 · owns less than 5%
  • Sarah Dodge Rich · Chief Financial Officer
    since 06/2012 · owns less than 5%
Entity owners
  • Suntrust Bank Holding Company · Holding Company
    direct · owns 75% or more · public reporting company
  • Suntrust Banks, Inc. · Shareholder
    indirect · owns 75% or more of Suntrust Bank Holding Company · public reporting company
Related persons
Schedule D 7.A
Advisers that list Suntrust Investment Services, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Atlanta, GA
  • Chesapeake, VA
  • Miami, FL
  • North Chesterfield, VA
  • Tampa, FL
What changed
consecutive filings, newest first
  • Accounts · 26,106 to 26,841
    Jan 20, 2016 to Mar 17, 2016
  • Advisory employees · 1,590 to 1,349
    Jan 20, 2016 to Mar 17, 2016
  • BD registered reps · 1,439 to 1,203
    Jan 20, 2016 to Mar 17, 2016
  • Employees · 1,968 to 1,368
    Jan 20, 2016 to Mar 17, 2016
  • State-registered IARs · 1,260 to 1,147
    Jan 20, 2016 to Mar 17, 2016
  • Discretionary RAUM · $4.5B to $4.7B
    Jan 20, 2016 to Mar 17, 2016
  • Non-discretionary RAUM · $6.0B to $5.7B
    Jan 20, 2016 to Mar 17, 2016
  • RAUM · $10B to $10B
    Jan 20, 2016 to Mar 17, 2016
  • Accounts · 25,721 to 26,106
    Oct 14, 2015 to Nov 24, 2015
  • Discretionary RAUM · $4.4B to $4.5B
    Oct 14, 2015 to Nov 24, 2015
  • Non-discretionary RAUM · $6.3B to $6.0B
    Oct 14, 2015 to Nov 24, 2015
  • RAUM · $11B to $10B
    Oct 14, 2015 to Nov 24, 2015
  • Accounts · 24,693 to 25,721
    Mar 30, 2015 to Aug 27, 2015
  • Discretionary RAUM · $4.1B to $4.4B
    Mar 30, 2015 to Aug 27, 2015
  • Non-discretionary RAUM · $5.8B to $6.3B
    Mar 30, 2015 to Aug 27, 2015
  • RAUM · $9.9B to $11B
    Mar 30, 2015 to Aug 27, 2015
  • Accounts · 22,925 to 24,693
    Sep 30, 2014 to Mar 30, 2015
  • Advisory employees · 1,098 to 1,590
    Sep 30, 2014 to Mar 30, 2015
  • BD registered reps · 1,012 to 1,439
    Sep 30, 2014 to Mar 30, 2015
  • Employees · 1,455 to 1,968
    Sep 30, 2014 to Mar 30, 2015
  • State-registered IARs · 1,015 to 1,260
    Sep 30, 2014 to Mar 30, 2015
  • Discretionary RAUM · $3.8B to $4.1B
    Sep 30, 2014 to Mar 30, 2015
  • Non-discretionary RAUM · $5.8B to $5.8B
    Sep 30, 2014 to Mar 30, 2015
  • RAUM · $9.6B to $9.9B
    Sep 30, 2014 to Mar 30, 2015
  • Accounts · 20,916 to 22,925
    Jun 9, 2014 to Aug 22, 2014
  • Discretionary RAUM · $3.2B to $3.8B
    Jun 9, 2014 to Aug 22, 2014
  • Non-discretionary RAUM · $5.1B to $5.8B
    Jun 9, 2014 to Aug 22, 2014
  • RAUM · $8.2B to $9.6B
    Jun 9, 2014 to Aug 22, 2014
  • Related bank · true to false
    Mar 26, 2014 to Jun 9, 2014
  • Accounts · 17,751 to 20,916
    Jun 12, 2013 to Mar 26, 2014
  • Advisory employees · 1,171 to 1,098
    Jun 12, 2013 to Mar 26, 2014
  • BD registered reps · 1,011 to 1,012
    Jun 12, 2013 to Mar 26, 2014
  • Employees · 1,371 to 1,455
    Jun 12, 2013 to Mar 26, 2014
  • State-registered IARs · 574 to 1,015
    Jun 12, 2013 to Mar 26, 2014
  • Discretionary RAUM · $2.2B to $3.2B
    Jun 12, 2013 to Mar 26, 2014
  • Non-discretionary RAUM · $4.3B to $5.1B
    Jun 12, 2013 to Mar 26, 2014
  • RAUM · $6.5B to $8.2B
    Jun 12, 2013 to Mar 26, 2014
  • Accounts · 16,405 to 17,751
    Dec 3, 2012 to Feb 26, 2013
  • Advisory employees · 1,412 to 1,171
    Dec 3, 2012 to Feb 26, 2013
  • BD registered reps · 1,293 to 1,011
    Dec 3, 2012 to Feb 26, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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