LOWE, BROCKENBROUGH & COMPANY, INC. of RICHMOND, VA is an SEC-registered investment adviser (CRD 105142). Regulatory assets under management: $5.5B.
Compensation: % of AUM, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Austin Brockenbrough Iii | MANAGING DIRECTOR & CHAIRMAN OF THE BOARD | — |
| Charles Martin Caravati | MANAGING DIRECTOR & SECRETARY; EXECUTIVE COMMITTEE | — |
| David Allen Lyons | CHIEF COMPLIANCE OFFICER (01/2021); MANAGING DIRECTOR; TREASURER (09/2000) ; EXECUTIVE COMMITTEE | — |
| Austin Brockenbrough Iv | MANAGING DIRECTOR; PRESIDENT; EXECUTIVE COMMITTEE; TRUSTEE | — |
| Walter Spencer Robertson | MANAGING DIRECTOR; EXECUTIVE COMMITTEE | — |
| Christopher John Dion | MANAGING DIRECTOR; EXECUTIVE COMMITTEE | — |
| Matthew Philip Shaia | MANAGING DIRECTOR; EXECUTIVE COMMITTEE | — |
| BROCKENBROUGH AUSTIN III | MANAGING DIRECTOR | — |
| CARAVATI CHARLES MARTIN | MANAGING DIRECTOR; MANAGING DIRECTOR & SECRETARY; MANAGING DIRECTOR & SECRETARY; EXECUTIVE COMMITTEE | — |
| LYONS DAVID ALLEN | CHIEF COMPLIANCE OFFICER (01/2021), MANAGING DIRECTOR & TREASURER (09/2000); CHIEF COMPLIANCE OFFICER (01/2021); MANAGING DIRECTOR; TREASURER (09/2000) ; EXECUTIVE COMMITTEE; MANAGING DIRECTOR (+1 more) | — |
| WHITLOCK LAWRENCE BROADDUS | MANAGING DIRECTOR | — |
| CLAIBORNE WILLIAM ROBERTSON | MANAGING DIRECTOR | — |
| REECE PAGE TAYLOR | CHIEF COMPLIANCE OFFICER | — |
| BROCKENBROUGH AUSTIN | MANAGING DIRECTOR; MANAGING DIRECTOR & CHAIRMAN OF THE BOARD; MANAGING DIRECTOR & CHAIRMAN OF THE BOARD; EXECUTIVE COMMITTEE (+3 more) | — |
| BURKE ROBERT RENNOLDS | MANAGING DIRECTOR | — |
| DION CHRISTOPHER JOHN | MANAGING DIRECTOR; EXECUTIVE COMMITTEE | — |
| SHUMADINE WILLIAM FRANCIS | MANAGING DIRECTOR | — |
| SPALDING HENRY CANNON | MANAGING DIRECTOR | — |
| ROBERTSON III WALTER SPENCER | MANAGING DIRECTOR; MANAGING DIRECTOR; EXECUTIVE COMMITTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-04-24 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION FOUND THAT MR. BURKE, WHILE SERVING ON THE BOARD OF TRUSTEES OF A REGISTERED INVESTMENT COMPANY, DID NOT HAVE, AND CONSEQUENTLY DID NOT EVALUATE, ALL OF THE INFORMATION REQUESTED AS REASONABLY NECESSARY BEFORE APPROVING CERTAIN INVESTMENT ADVISORY CONTRACTS AT… | Final | $3K |