# LOWE, BROCKENBROUGH & COMPANY, INC.

LOWE, BROCKENBROUGH & COMPANY, INC. of RICHMOND, VA is an SEC-registered investment adviser.

## Registration

- CRD: 105142
- Type: SEC-registered investment adviser
- SEC file number: 801-6691
- Location: 920 LIBBIE AVE., SUITE 201, RICHMOND, VA, 23226-2050
- Phone: 804-288-0404
- Latest filing: 2026-05-13
- Regulatory AUM: $5.5B
- Discretionary AUM: $4.8B
- Non-discretionary AUM: $657.3M
- Clients: 31
- Accounts: 568

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos

## Officers, owners & control persons (19)

| 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 | — |


## Disclosures (1)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/105142/brochure
- Similar advisers: https://search.stillhousedata.com/firm/105142/similar
- Related entities: https://search.stillhousedata.com/firm/105142/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/105142

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.