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

Scott & Stringfellow, LLC

Former SEC-registered adviserRichmond, VirginiaCRD 6255SEC 801-40380IAPD
Latest filing Oct 16, 2012
First filing on the tape Dec 15, 2011 · 11 filings
RAUM
$7.3B
reported, Item 5.F
Discretionary
89%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$7.3B as of Oct 16, 2012
Dec 15, 2011$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 16, 2012; 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
$626,194derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 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 assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
582reportedItem 5.H
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)
  • 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
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
11,630reported
Financial planning clients
582reported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael Douglas Ball · Senior Managing Director / Regional Managercontrol
    since 06/2012 · owns less than 5%
  • Alexander Wilson Cecil · Chief Compliance Officer / Managing Director / Board Of Managerscontrol
    since 05/2005 · owns less than 5%
  • Bryan Scott Cram · President Private Client Group/Senior Managing Director/Board Of Managerscontrol
    since 08/2012 · owns less than 5%
  • Kenneth Lue Daniels · Board Of Managerscontrol
    since 01/2010 · owns less than 5%
  • Merlin T Grim · Senior Managing Director/Financial Operations & Risk Officer/Board Of Managerscontrol
    since 01/2010 · owns less than 5%
  • William Edward Hardy · Senior Managing Director / Head Of Debt Capital Markets/Board Of Managerscontrol
    since 08/2012 · owns less than 5%
  • Hal Swords Johnson · Board Of Managerscontrol
    since 08/2008 · owns less than 5%
  • John Bernard Jr Jung · Sr Managing Dir./Chief Marketing Officer/Board Of Managerscontrol
    since 09/2003 · owns less than 5%
  • Patrick Arthur Oshea · Senior Managing Director/Equity Capital Markets/Board Of Managerscontrol
    since 08/2012 · owns less than 5%
  • Michael Cole Owen · Senior Managing Director / Regional Managercontrol
    since 06/2012 · owns less than 5%
  • George William IV Robbins · Board Of Managerscontrol
    since 08/2012 · owns 10% to 25%
  • Randall Barrett Saufley · Chief Financial Officer / Finop /Managing Directorcontrol
    since 07/2006 · owns less than 5%
  • Sidney Buford Scott · Chairman/Board Of Managerscontrol
    since 05/1999 · owns less than 5%
  • William Rufus III Yates · Chief Executive Officer/Board Of Managerscontrol
    since 07/2009 · owns less than 5%
  • Justin Shane Thompson · Rop
    since 01/2010 · owns less than 5%
Entity owners
  • Bb&T Corporation · Owner
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Greensboro, NC
  • Hasbrouck Heights, NJ
  • Raleigh, NC
  • Virginia Beach, VA
  • Winston-Salem, NC
What changed
consecutive filings, newest first
  • Accounts · 10,348 to 11,630
    Jul 6, 2012 to Aug 23, 2012
  • Discretionary RAUM · $3.0B to $6.5B
    Jul 6, 2012 to Aug 23, 2012
  • Non-discretionary RAUM · $824M to $821M
    Jul 6, 2012 to Aug 23, 2012
  • RAUM · $3.9B to $7.3B
    Jul 6, 2012 to Aug 23, 2012
  • Accounts · 9,398 to 10,348
    Dec 15, 2011 to Jan 13, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 15, 2011 to Jan 13, 2012
  • Discretionary RAUM · $2.8B to $3.0B
    Dec 15, 2011 to Jan 13, 2012
  • Non-discretionary RAUM · $808M to $824M
    Dec 15, 2011 to Jan 13, 2012
  • RAUM · $3.6B to $3.9B
    Dec 15, 2011 to Jan 13, 2012
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