{ "crd_number": 105142, "slug": "brockenbrough-richmond-va-105142", "primary_business_name": "BROCKENBROUGH", "legal_name": "LOWE, BROCKENBROUGH & COMPANY, INC.", "dbas": [], "city": "Richmond", "state": "VA", "country": "United States", "cbsa_code": "40060", "metro": { "cbsa_code": "40060", "common_name": "Richmond", "msa_name": "Richmond, VA", "path": "/advisors/va/richmond" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1970-07-01", "years_registered": 56, "period": "2026-10-01", "filing_date": "2026-05-13", "carried_forward": false, "raum_total": 5487791666.0, "raum_discretionary": 4830532404.0, "raum_non_discretionary": 657259262.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 31, "advisory_employees": 15, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 833760323.0, "count": 41 }, "individuals": { "raum": 33949579.0, "count": 118 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 554477042.0, "count": 1, "fewer_than_5": true }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 65756109.0, "count": 1 }, "pension_profit_sharing": { "raum": 17721347.0, "count": 3, "fewer_than_5": true }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 2288687846.0, "count": 364 }, "pooled_investment_vehicles": { "raum": 1484252538.0, "count": 20 }, "corporations_other_businesses": { "raum": 209186882.0, "count": 20 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "fixed", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "CO", "FL", "GA", "LA", "MA", "MD", "MI", "NC", "NY", "PA", "SC", "TX", "VA", "WA", "WV" ], "websites": [ "https://brockenbroughinc.com", "https://jamestownfunds.com", "https://linkedin.com/company/brockenbrough", "https://thebespokestrategies.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/105142", "city_as_filed": "RICHMOND", "url": "https://advisorcensus.com/firm/brockenbrough-richmond-va-105142", "display_name": "Brockenbrough", "summary": "Brockenbrough is an SEC-registered investment advisory firm in Richmond, VA, registered since 1970, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated May 13, 2026.", "citation": "AdvisorCensus. Brockenbrough (CRD 105142): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Brockenbrough compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Brockenbrough reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees." }, { "q": "Where is Brockenbrough located?", "a": "Brockenbrough's principal office is in Richmond, VA, according to its Form ADV." }, { "q": "Is Brockenbrough registered with the SEC or a state?", "a": "Brockenbrough is an SEC-registered investment advisory firm, registered since 1970. Status as filed: Approved. CRD 105142." }, { "q": "How much does Brockenbrough manage?", "a": "Brockenbrough reports $5,487,791,666 in regulatory assets under management in its Form ADV filing dated May 13, 2026 (88% discretionary)." }, { "q": "How have Brockenbrough's assets and staff changed since 2021?", "a": "In the Form ADV data for Brockenbrough: Regulatory assets under management: $3,924,038,944 in the October 2021 data and $5,487,791,666 in the October 2026 data, up 40%. Total employees: 26 in October 2021 and 31 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Brockenbrough serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (364); individuals (other than high net worth individuals) (118); charitable organizations (41)." }, { "q": "Which custodians does Brockenbrough use?", "a": "Brockenbrough's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Brockenbrough report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105142" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 3924038944.0, "total_employees": 26, "filing_date": "2021-04-07" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4887940221.0, "total_employees": 29, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 4240933931.0, "total_employees": 30, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 4822664354.0, "total_employees": 31, "filing_date": "2024-09-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 5442429889.0, "total_employees": 32, "filing_date": "2025-06-25" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5487791666.0, "total_employees": 31, "filing_date": "2026-05-13" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/brockenbrough-richmond-va-105142.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 118, "fewer_than_5": false, "raum": 33949579.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 364, "fewer_than_5": false, "raum": 2288687846.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 65756109.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 20, "fewer_than_5": false, "raum": 1484252538.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 3, "fewer_than_5": true, "raum": 17721347.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 41, "fewer_than_5": false, "raum": 833760323.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 1, "fewer_than_5": true, "raum": 554477042.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 20, "fewer_than_5": false, "raum": 209186882.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/105142", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }