THOMPSON DAVIS & CO., INC. of RICHMOND, VA is an SEC-registered investment adviser (CRD 41353). Regulatory assets under management: $211.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 31 people.
| Name | Role | Location |
|---|---|---|
| Jones Christopher | EQUITY TRADER; INVESTMENT ADVISOR | San Francisco, CA |
| Daniel Henry | SR. VICE PRESIDENT | Overland Park, KS |
| June Elaine Altizer | CFO/FINOP/PFO/POO | — |
| William Dale Jr Davis | CEO | — |
| Edward Hunter Jr Thompson | CHAIRMAN | — |
| Matthew Henry Daniel | SR. VICE PRESIDENT | — |
| Adam Robert Thalhimer | DIRECTOR OF RESEARCH | — |
| Peggy Myers Walz | CCO | — |
| Brant Christopher Jones | INVESTMENT ADVISOR | — |
| ALTIZER JUNE ELAINE | CFO/FINOP; CFO/FINOP/PFO/POO | — |
| DAVIS WILLIAM DALE JR | CEO; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (+1 more) | — |
| RUTHERFORD KEVIN STEWART | CHIEF COMPLIANCE OFFICER; HEAD OF TRADING; HEAD OF TRADING/ROSFP (+1 more) | — |
| THOMPSON EDWARD HUNTER JR | CHAIRMAN; CHAIRMAN EMERITUS | — |
| ROBERTS CHARLES RICHARD | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER | — |
| CAMPBELL DAVID PEARCE | SENIOR VICE PRESIDENT | — |
| DAVIS DANIELLE EGAN | FINANCIAL CONSULTANT | — |
| FLYNN MICHAEL EDWARD JR | ASSOCIATE VICE PRESIDENT | — |
| GOINS JESSE FRANKLIN III | VICE PRESIDENT | — |
| MCCLANAHAN LARRY GALE | SENIOR VICE PRESIDENT | — |
| PETUSKY MICHAEL JOHN | VICE PRESIDENT | — |
| YOUNG WALTER HOWARD III | CCO; CHIEF COMPLIANCE OFFICER; OWNER (+1 more) | — |
| HIGGINS LAURANCE HERRICK JR | VICE PRESIDENT | — |
| NORTHEN READ MORTON JR | SENIOR VICE PRESIDENT | — |
| BRITTON JANICE EILEEN | CHIEF COMPLIANCE OFFICER | — |
| STEPHENS HARPER MCDONALD | SENIOR VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-10-22 | regulatory | THE DIVISION ALLEGES VIOLATION OF RULE 21VAC5-20-260 SUPERVISION OF AGENTS IN THAT THE FIRM FAILED TO DILIGENTLY SUPERVISE THE ACTIVITIES OF VICTOR M. DANDRIDGE, III (CRD #5884409). THE DIVISION ALSO ALLEGES THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN PROCEDURES, SPECIFICALLY THE FREQ… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| SEVEN HILLS CAPITAL PARTNERS, LP | Hedge Fund | Delaware | 12 | $4.1M | $200K |