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.
SEC-registered adviser
Atlantic Union Municipal Advisors, Inc
Latest filing May 26, 2026
First filing on the tape Dec 26, 2023 · 10 filings
SEC status approved since Jan 26, 2024
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$33.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$134M as of May 26, 2026
Mar 18, 2025$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 26, 2026
Mar 18, 20250 then
Employees (5.A)4 as of May 26, 2026
Mar 18, 20254 then
Private funds: no history
RAUM -28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $33.6MderivedRAUM 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
- $134MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- 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
- 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
- State and municipal entities$134M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mitchell Paul YorkChartered Financial Analyst | Glen Allen, Va | Feb 1, 2024 | 29 y | 5 |
| Ellen Elizabeth Spong | Glen Allen, Va | Mar 10, 2024 | 14 y | 1 |
| John Foster OckermanChartered Financial Analyst | Glen Allen, Va | Mar 20, 2024 | 15 y | 0 |
| Andrew Douglas DavisChartered Financial Analyst | Burlington, Nc | May 27, 2026 | 22 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Andrew Douglas Davis from Smith Salley Wealth ManagementMay 27, 2026 · Other
- Ellen Elizabeth Spong from Blue Edge Capital, LLCMar 10, 2024 · RIA to a newly registered adviser
- Mitchell Paul York from Concord Asset Management, LLCFeb 1, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sothara Chin · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- Paul Mitchell York · Presidentcontrolsince 10/2023 · owns less than 5%
- Foster John Ockerman · Vice President, Treasurersince 10/2023 · owns less than 5%
- Elizabeth Ellen Spong · Vice President, Treasurersince 10/2023 · owns less than 5%
Entity owners
- Atlantic Union Bank · Corporationdirect · owns 75% or more
- Atlantic Union Bankshares Corporation · Corporationindirect · owns 75% or more of Atlantic Union Bank · public reporting company
Related persons
Schedule D 7.A
- Atlantic Union Banky
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glen Allen, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $185,400,813 to $134,277,990 (-28.0%) between the annual amendments of 2025-03-18 and 2026-03-27; the peer median change was +9.0% (93 comparable advisers, 5.0th percentile of changes)peers: institutional managers, $100M to $500M (93) · 5.4% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 1Jan 23, 2026 to Mar 27, 2026
- Discretionary RAUM · $185M to $134MJan 23, 2026 to Mar 27, 2026
- RAUM · $185M to $134MJan 23, 2026 to Mar 27, 2026
- Accounts · 9 to 8Oct 16, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Oct 16, 2024 to Mar 18, 2025
- Discretionary RAUM · $195M to $185MOct 16, 2024 to Mar 18, 2025
- RAUM · $195M to $185MOct 16, 2024 to Mar 18, 2025
- Accounts · unset to 9.0Dec 26, 2023 to May 24, 2024
- Financial planning clients · unset to 0Dec 26, 2023 to May 24, 2024
- Discretionary RAUM · unset to 195417417.0Dec 26, 2023 to May 24, 2024
- Non-discretionary RAUM · unset to 0.0Dec 26, 2023 to May 24, 2024
- RAUM · unset to 195417417.0Dec 26, 2023 to May 24, 2024
Signals
4 dated events
- Vincent David Ring (Director) no longer on Schedule A of Atlantic Union Municipal Advisors, Inc (listed 2024-07-22, absent 2024-10-15)Oct 15, 2024 · Control person left · inference
- Pia Maria Tedesco (Director) no longer on Schedule A of Atlantic Union Municipal Advisors, Inc (listed 2024-07-22, absent 2024-10-15)Oct 15, 2024 · Control person left · inference
- Sothara Chin (Chief Compliance Officer) appeared on Schedule A of Atlantic Union Municipal Advisors, IncJul 22, 2024 · Control person joined · fact
- Atlantic Union Municipal Advisors, Inc filed its initial SEC registration (Form ADV)Dec 26, 2023 · 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
- Website
- vamint.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 804-802-4955X6055reportedpublic record, Form ADV, May 26, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026