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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••• S••••• P••••••• A•••• M•••••••••
Legal name C••• S••••• P••••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 12, 2017 · 34 filings
SEC status approved since Jul 11, 2017
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
88%
$1.3B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$241M
derived; firm RAUM over IAPD count
Employees
49
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2026
Mar 26, 2018$326M then
HNW client RAUM$997M as of Mar 31, 2026
Mar 26, 2018$44.5M then
State-registered IARs (5.B.3)18 as of Mar 31, 2026
Mar 26, 20184 then
Employees (5.A)49 as of Mar 31, 2026
Mar 26, 20185 then
Private funds: no history
RAUM -2.9% over the last fiscal year+3.9% a year over threeIARs 19 to 18
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $241MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 301derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $419,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$997M69%
- Individuals$282M19%
- Investment companies$91.0M6.3%
- Corporations and businesses$32.3M2.2%
- Insurance companies$26.1M1.8%
- Pension and profit-sharing plans$11.8M0.8%
- Charitable organizations$7.5M0.5%
- Individual clients
- 1,196reported
- HNW clients
- 608reported
- Pension plan clients
- 8reported
- Charitable clients
- 10reported
- Accounts
- 3,451reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $900M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.06 institutional_share=0.03 related_bd=true related_bank=false bd_reps=11.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L••• S••••Chartered Financial Analyst | Richmond, Va | Jul 1, 2020 | 34 y | 1 |
| M••• L• D••••Chartered Financial Analyst | Summit, Nj | Jan 1, 2026 | 24 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B••••••• C••• H••••••••• to T•••••••• I••••••••• M••••••••• L••May 4, 2021 · RIA to a state-registered adviser
Joined, latest
- B••••••• C••• H••••••••• from T•••••••• A•••• M••••••••• L••Jul 1, 2020 · RIA to RIA
- D•••• L••• S•••• from T•••••••• A•••• M••••••••• L••Jul 1, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•••••••• A•••• M••••••••• L••Nov 13, 2020 · Summit, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• W•••••• D••••• · Board Manager; President, Managing Directorcontrolsince 08/2017 · owns less than 5%
- C•••• H••••••••• ••••• · Board Manager; Chief Technology Officer (C•••)controlsince 10/2016 · owns less than 5%
- G•••••• W•••••• H••••••• · Board Manager; Chief Operating Officer (C•••)controlsince 02/2021 · owns less than 5%
- M•••••••• K••••• L•• · Chief Financial Officer, Directorcontrolsince 07/2017 · owns less than 5%
- R••••• M••••••• L••••••• · Chief Investment Officer (C•••)controlsince 01/2024 · owns less than 5%
- S••••••••• J•••••• R•••••• · Chairman, Board Manager; Chief Executive Officer (C•••)controlsince 07/2015 · owns less than 5%
- T•••••••• T•••••• H••••••• · Secretary/Treasurer, Board Manager, Managing Director; Chief Strategy Officer, Legal And Finance (C•••)controlsince 10/2017 · owns less than 5%
- H••••• R••••••• M••••••• · Board Managercontrolsince 12/2021 · owns F of C••• S••••• P••••••• F•••••••• L•• •••••••
- S••••••••• J•••••• R•••••• · Board Managercontrolsince 07/2017 · owns F of C••• S••••• P••••••• F•••••••• L•• •••••••
- S••••••••• D•••••• S•••• · Board Managercontrolsince 08/2019 · owns F of C••• S••••• P••••••• F•••••••• L•• •••••••
- S••••••• D••••••• G•• · Board Managercontrolsince 08/2017 · owns F of C••• S••••• P••••••• F•••••••• L•• •••••••
- S•••••••• K••••••••• T•••••••• · Board Managercontrolsince 05/2023 · owns F of C••• S••••• P••••••• F•••••••• L•• •••••••
- T••••••• M••••• P•• · Board Managercontrolsince 06/2022 · owns F of C••• S••••• P••••••• F•••••••• L•• •••••••
- T•••••••• T•••••• H••••••• · Board Managercontrolsince 03/2021 · owns F of C••• S••••• P••••••• F•••••••• L•• •••••••
- O•••••• N••••• R•••••••• · Chief Compliance Officer, Directorsince 09/2024 · owns less than 5%
Entity owners
- C••• S••••• P••••••• F•••••••• L•• ••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••• S••••• P•••••••investment advisernRAUM $10B
- C••• S••••• P••••••• L••broker-dealerreal estaten
- L•••• I•••••••• S••••••• L••real estaten
- M•••• P••••• C•• P•••insurancen
Advisers that list C••• S••••• P••••••• A•••• M••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 4 | 0 | 0 | ||
| Morristown, Nj | 2 | 0 | 0 | ||
| Summit, Nj | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Morristown, NJ5 employees
- Fredericksburg, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Mar 31, 2026employees per registered advisor of 8.2 against a peer median of 1.5 (1101 comparable advisers, 100.0th percentile, 13.8 robust deviations)peers: independent wealth managers, $1B to $5B (1,101) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 3,255 to 3,451Jun 27, 2025 to Mar 31, 2026
- Advisory employees · 9 to 8Jun 27, 2025 to Mar 31, 2026
- Corporate clients · 5 to 12Jun 27, 2025 to Mar 31, 2026
- HNW clients · 573 to 608Jun 27, 2025 to Mar 31, 2026
- Individual clients · 1,123 to 1,196Jun 27, 2025 to Mar 31, 2026
- Pension plan clients · 10 to 8Jun 27, 2025 to Mar 31, 2026
- Employees · 48 to 49Jun 27, 2025 to Mar 31, 2026
- State-registered IARs · 17 to 18Jun 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.5B to $1.4BJun 27, 2025 to Mar 31, 2026
- HNW RAUM · $912M to $997MJun 27, 2025 to Mar 31, 2026
- Individual RAUM · $253M to $282MJun 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $21.9M to $26.1MJun 27, 2025 to Mar 31, 2026
- Pension RAUM · $33.6M to $11.8MJun 27, 2025 to Mar 31, 2026
- RAUM · $1.5B to $1.4BJun 27, 2025 to Mar 31, 2026
- Wrap assets (manager) · $0 to $900MJun 27, 2025 to Mar 31, 2026
- Advisory employees · 10 to 9Mar 30, 2025 to Jun 27, 2025
- BD registered reps · 12 to 11Mar 30, 2025 to Jun 27, 2025
- Financial planning clients · 0 to 0Mar 30, 2025 to Jun 27, 2025
- State-registered IARs · 19 to 17Mar 30, 2025 to Jun 27, 2025
- Accounts · 2,921 to 3,255Oct 3, 2024 to Mar 30, 2025
- Advisory employees · 12 to 10Oct 3, 2024 to Mar 30, 2025
- BD registered reps · 15 to 12Oct 3, 2024 to Mar 30, 2025
- Charity clients · 9 to 10Oct 3, 2024 to Mar 30, 2025
- Corporate clients · 7 to 5Oct 3, 2024 to Mar 30, 2025
- HNW clients · 454 to 573Oct 3, 2024 to Mar 30, 2025
- Individual clients · 1,031 to 1,123Oct 3, 2024 to Mar 30, 2025
- Pension plan clients · 9 to 10Oct 3, 2024 to Mar 30, 2025
- Employees · 47 to 48Oct 3, 2024 to Mar 30, 2025
- Insurance-licensed employees · 19 to 17Oct 3, 2024 to Mar 30, 2025
- State-registered IARs · 21 to 19Oct 3, 2024 to Mar 30, 2025
- Discretionary RAUM · $1.4B to $1.5BOct 3, 2024 to Mar 30, 2025
- HNW RAUM · $806M to $912MOct 3, 2024 to Mar 30, 2025
- Individual RAUM · $246M to $253MOct 3, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $123M to $21.9MOct 3, 2024 to Mar 30, 2025
- Pension RAUM · $34.0M to $33.6MOct 3, 2024 to Mar 30, 2025
- RAUM · $1.5B to $1.5BOct 3, 2024 to Mar 30, 2025
- Accounts · 2,739 to 2,921Nov 1, 2023 to Mar 28, 2024
- Advisory employees · 11 to 12Nov 1, 2023 to Mar 28, 2024
- BD registered reps · 16 to 15Nov 1, 2023 to Mar 28, 2024
- Charity clients · 10 to 9Nov 1, 2023 to Mar 28, 2024
Signals
27 dated events
- Owen Thomas Herrick (Board Manager; Chief Market Strategist, Managing Director (Cspf); Chief Investment Officer (Cspam)) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2024-03-28, absent 2024-10-03)Oct 3, 2024 · Control person left · inference
- Lacey Jessica Thompson (Board Manager; Chief Compliance Officer & Corporate Counsel, Managing Director (Cspf)) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2024-03-28, absent 2024-10-03)Oct 3, 2024 · Control person left · inference
- L M•••••• R•••• (Board Manager; Chief Investment Officer (Cspf), Managing Director) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 28, 2024 · Control person joined · fact
- Townshend Katherine Stockton (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Jun 27, 2023 · Control person joined · fact
- Aaron James Summers no longer registered at C••• S••••• P••••••• A•••• M•••••••••; no later IA registration on IAPDFeb 13, 2023 · Advisor departure · fact
- C••• S••••• P••••••• A•••• M••••••••• reported RAUM $1.3B, up 28% from $1.0B (2021-12-21 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Donald Walter Bayne (Board Manager; President, Managing Director (Cspf)) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 30, 2022 · Control person joined · fact
- Hsuehliang Chen (Board Manager; Chief Technology Officer, Managing Director (Cspf)) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 30, 2022 · Control person joined · fact
- M••••••• R•••••• H•••• (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Dec 17, 2021 · Control person joined · fact
- Wendy G Rogers (Board Manager) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2021-03-31, absent 2021-12-17)Dec 17, 2021 · Control person left · inference
- C••• S••••• P••••••• A•••• M••••••••• reported RAUM $1.0B, up 108% from $484.3M (2021-02-06 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- H••• A•••• B•••• (Board Manager) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2021-02-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Cary Benjamin Halliburton (Board Manager) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2021-02-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- W••••• G••••• (Deputy Chief Operations Officer) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 31, 2021 · Control person joined · fact
- Hogshead Thomas Tullidge (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 31, 2021 · Control person joined · fact
- Max C Chapman Jr (Board Manager) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2020-11-09, absent 2021-02-06)Feb 6, 2021 · Control person left · inference
- Lacey Jessica Thompson (Chief Compliance Officer) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Nov 9, 2020 · Control person joined · fact
- Dion Kevin Spence (Chief Compliance Officer) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2020-11-04, absent 2020-11-09)Nov 9, 2020 · Control person left · inference
- Scott Derron Slonecker (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••May 19, 2020 · Control person joined · fact
- Cary Benjamin Halliburton (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 27, 2020 · Control person joined · fact
- Donald Walter Bayne (Manager) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2018-06-28, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Hogshead Thomas Tullidge (Manager) no longer on Schedule A of C••• S••••• P••••••• A•••• M••••••••• (listed 2018-06-28, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Owen Thomas Herrick (President) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 28, 2019 · Control person joined · fact
- Wendy G Rogers (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 28, 2019 · Control person joined · fact
- Max C Chapman Jr (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 28, 2019 · Control person joined · fact
- Guy Douglas Stewart (Board Manager) appeared on Schedule A of C••• S••••• P••••••• A•••• M•••••••••Mar 28, 2019 · Control person joined · fact
- L•••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Jul 12, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 804-340-8100reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/cary-street-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- carystreetpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-340-8100reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- carystreetpartners.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $241Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026