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

V.M. Manning & Co., Inc.

Former SEC-registered adviserGreenville, South CarolinaCRD 2655SEC 801-133006websiteIAPD
Legal name V. M. Manning & Co., Inc.
Latest filing Feb 26, 2026
First filing on the tape Nov 15, 2011 · 9 filings
SEC status approved since Jun 16, 2025
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$133M as of Feb 26, 2026
Feb 13, 2012$30.0M then
HNW client RAUM$123M as of Feb 26, 2026
May 27, 2025$110M then
State-registered IARs (5.B.3)2 as of Feb 26, 2026
Feb 13, 20120 then
Employees (5.A)3 as of Feb 26, 2026
May 27, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
RAUM per advisor
$66.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
  • High-net-worth individuals$123M92%
  • Individuals$10.1M7.6%
Individual clients
34reported
HNW clients
41reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
75reported
Financial planning clients
reported
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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days2 left over 36 months
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
    • Nelson Battle III Arrington · President/Director/Ceo/Cco Of Iacontrol
      since 10/1999 · owns less than 5%
    • Nelson Battle Jr Arrington · Chairman Of The Board, Muni Principal, Chief Compliance Officer Of B-Dcontrol
      since 10/1999 · owns 75% or more
    • Helen Arrington Wynkoop · Treasurer/Cfo/Director/Finopcontrol
      since 10/1999 · owns less than 5%
    Related persons
    Schedule D 7.A
    • V. M. Manning & Co., Inc
      broker-dealery
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Greenville, Sc · principal0021
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 122 to 75
      Jul 14, 2025 to Feb 26, 2026
    • HNW clients · 37 to 41
      Jul 14, 2025 to Feb 26, 2026
    • Individual clients · 21 to 34
      Jul 14, 2025 to Feb 26, 2026
    • Discretionary RAUM · $115M to $133M
      Jul 14, 2025 to Feb 26, 2026
    • HNW RAUM · $110M to $123M
      Jul 14, 2025 to Feb 26, 2026
    • Individual RAUM · $5.8M to $10.1M
      Jul 14, 2025 to Feb 26, 2026
    • RAUM · $115M to $133M
      Jul 14, 2025 to Feb 26, 2026
    • Financial planning clients · unset to
      May 27, 2025 to Jul 14, 2025
    • Accounts · 31 to 122
      Mar 22, 2012 to May 27, 2025
    • Advisory employees · unset to 2.0
      Mar 22, 2012 to May 27, 2025
    • BD registered reps · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • Charity clients · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • Corporate clients · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • HNW clients · unset to 37.0
      Mar 22, 2012 to May 27, 2025
    • Individual clients · unset to 21.0
      Mar 22, 2012 to May 27, 2025
    • Pension plan clients · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • Pooled vehicle clients · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • Employees · unset to 3.0
      Mar 22, 2012 to May 27, 2025
    • State-registered IARs · 0 to 2
      Mar 22, 2012 to May 27, 2025
    • Other offices · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • Discretionary RAUM · $28.5M to $115M
      Mar 22, 2012 to May 27, 2025
    • HNW RAUM · unset to 109687111.0
      Mar 22, 2012 to May 27, 2025
    • Individual RAUM · unset to 5775492.0
      Mar 22, 2012 to May 27, 2025
    • Non-discretionary RAUM · $1.5M to $0
      Mar 22, 2012 to May 27, 2025
    • Pension RAUM · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • Pooled vehicle RAUM · unset to 0.0
      Mar 22, 2012 to May 27, 2025
    • RAUM · $30.0M to $115M
      Mar 22, 2012 to May 27, 2025
    • Related broker-dealer · true to false
      Mar 22, 2012 to May 27, 2025
    • Accounts · 30 to 31
      Feb 3, 2012 to Feb 13, 2012
    • Discretionary RAUM · $30.0M to $28.5M
      Feb 3, 2012 to Feb 13, 2012
    • Non-discretionary RAUM · $2.0M to $1.5M
      Feb 3, 2012 to Feb 13, 2012
    • RAUM · $32.0M to $30.0M
      Feb 3, 2012 to Feb 13, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 15, 2011 to Feb 3, 2012
    Signals
    4 dated events
    • V.M. Manning & Co., Inc. no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $133.3M)
      Aug 3, 2026 · Left the SEC roster · derived
    • Nelson Battle Arrington left V.M. Manning & Co., Inc. for Cx Institutional, Llc (registered 2026-09-11)
      Jul 20, 2026 · Advisor changed firm · fact
    • William Avery Mitchell left V.M. Manning & Co., Inc. for Cx Institutional, Llc (registered 2026-09-11)
      Jul 20, 2026 · Advisor changed firm · fact
    • 2 advisors left V.M. Manning & CO., Inc. (Greenville, SC) for CX Institutional, LLC on the same day
      Jul 20, 2026 · Team lift-out · derived
    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