SourcingSourcing

LOWE, BROCKENBROUGH & COMPANY, INC.

C31
CRD 105142·SEC 801-6691·RICHMOND, VA
AUM
$5.49B
$1B+
Est. Revenue
$54.9M
@ 1% on AUM
Est. EBITDA
$16.5M
@ 30% margin
Est. Deal Value
$131.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LOWE, BROCKENBROUGH & COMPANY, INC.
CRD
105142
SEC file #
801-6691
EIN
540859081
DBA names
Brockenbrough

Economics

AUM
$5.49B
AUM band
$1B+
AUM trajectory
'20'26
$2.82B → $5.49B▲ +95%
Client mix
Individuals High Net Worth364
Individuals Other118
Charitable Organizations41
Pooled Investment Vehicles20
Corporations20

Operations

Employees (total)
31
Advisory staff (per ADV)
15
Advisory staff (5-yr trend)
'20'26
16 advisors → 15 advisors▼ -6%
Primary office
RICHMOND VA
Branches
—

Custodian & Brokerage

Primary custodian
Morgan Stanleylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehicles
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
linkedin.com/company/brockenbrough(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
2019 DYNASTY TRUST
Top Owner Pct
37.5
Top Owner Entity Kind
DE
Owner Count
9
Control Persons
2019 DYNASTY TRUST
2005 TRUST
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0000022657
Edgar Registered
Yes
Edgar Filing Count
150
Edgar First Filing Date
1996-05-14
Edgar Last Filing Date
2026-05-07
Edgar 13f Count
113
Edgar 13f Latest AUM Estimate
Filing Date2026-05-07
Accession0001398344-26-008674
Edgar Former Names
LOWE BROCKENBROUGH & TATTERSALL INC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
16
Bc Firm IAR Count
16
Custodian Candidates
Full
Morgan Stanley9
Charles Schwab6
E*trade4
Interactive Brokers2
Edgar Addresses
Mailing
920 LIBBIE AVESUITE 201RICHMOND, VA 23226
Business
920 LIBBIE AVESUITE 201RICHMOND, VA 23226
Edgar EIN
540859081
Edgar Recent Filings
13F-HR2026-05-07 · 0001398344-26-008674
13F-HR2026-02-11 · 0001398344-26-002713
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (16)

16
BROCKENBROUGH IV, AUSTIN
IAR · Direct Owner · 7.5%
2347134
CARAVATI, CHARLES, MARTIN
IAR · Direct Owner · 7.5%
1888374
LYONS, DAVID, ALLEN
IAR · Direct Owner · 7.5%
1624727
BROCKENBROUGH III, AUSTIN
IAR · Executive Officer · 2.5%
1718558
SHAIA, MATTHEW, PHILIP
IAR · Executive Officer · 2.5%
5682510
ROBERTSON, WALTER, SPENCER
IAR · Executive Officer · 2.5%
4443678
DION, CHRISTOPHER, JOHN
IAR · Executive Officer · 2.5%
3254051
PAGE TAYLOR REECE
IAR
1023228
WILLIAM ROBERTSON CLAIBORNE
IAR
1101907
JOSEPH ASHBY JENNINGS
IAR
1893309
MARTIN KIRWAN KING
IAR
6967126
JOHN ROS BOWERS
IAR
2457072
ROBERT RENNOLDS BURKE
IAR
2775817
SAMANTHA BISSLAND-MOORE LINK
IAR
5620326
RICHARD HALLER SKEPPSTROM
IAR
2317079
CHRISTOPHER BRYAN CULBERTSON
IAR
4589941