Hedge Fund Database

CARY STREET PARTNERS ASSET MANAGEMENT

CARY STREET PARTNERS ASSET MANAGEMENT LLC Legal Name

Adviser information for CARY STREET PARTNERS ASSET MANAGEMENT last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Virginia, United States

Employees

Total Number of Employees 47
Investment Advisory/Research 12
Registered Broker-Dealer Representatives 15
Registered State Investment Advisers 21
Licensed Agents of an Insurance Company 4
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,914 $1.4B
Non-Discretionary 7 $122.9M
Total 2,921 $1.5B

Clients

Type Number RAUM
Individuals 1,031 $245.6M
HNW Individuals 454 $805.8M
Banking or thrift institutions 0 $0
Investment companies 1 $134.2M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 9 $34.0M
Charitable organizations 9 $5.9M
State or municipal gov entities <5 $103.3M
Other investment advisers 0 $0
Insurance companies <5 $122.9M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 7 $29.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 745.8M
Portfolio Manager to Program Sponsor
PRIVATE ADVISOR NETWORK WELLS FARGO CLEARING SERVICES, LLC
PRIVATE ADVISOR NETWORK WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
INVESTMENT MANAGEMENT SERVICES MORGAN STANLEY
MANAGER SELECT LPL FINANCIAL LLC
STIFEL MANAGED ASSETS PROGRAM STIFEL, NICOLAUS & COMPANY, INCORPORATED
UMA ADHESION WEALTH ADVISOR SOLUTIONS
UMA ENVESTNET PMC

Identifiers

SEC RIA File Number 801-110994
SEC ERA File Number 801-110994
SEC CIK Numbers 1845445
SEC CRD Numbers 289178
Legal Entity Identifier None

Principal Office

901 EAST BYRD STREET
SUITE 1001
RICHMOND
VA
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 804-340-8100, Fax: 804-381-6055

Websites

www.linkedin.com/company/cary-street-partners carystreetpartners.com/ www.fairleadfunds.com/ www.youtube.com/channel/ucdbnhyluyvg8ygk3uxozcsw

Chief Compliance Officer

JESSICA L. THOMPSON
901 EAST BYRD STREET
SUITE 1001
RICHMOND
VA
United States
Tel: 804-228-4680
Fax: 804-381-6055
(Full email address available in API data)

Regulatory Contact

NANCY RIGGLEMAN
COMPLIANCE MANAGER
901 EAST BYRD STREET
SUITE 1001
RICHMOND
VA
United States
Tel: 804.228.4688
(Full email address available in API data)

Industry Affiliates

CARY STREET PARTNERS Other investment adviser, including financial planners
CARY STREET PARTNERS Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency
LUXON INSURANCE SERVICES Insurance company or agency
MARIA PATTON CPA PLLC Accountant or accounting firm

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CARY STREET PARTNERS FINANCIAL LLC ("CSPF") Domestic Entity – OWNER 05/2017 > 75%
MITCHELL, KEVIN, LEE Individual – CHIEF FINANCIAL OFFICER, DIRECTOR 07/2017 < 5%
SCHMUCKLER, JOSEPH, REDMOND Individual CARY STREET PARTNERS FINANCIAL LLC ("CSPF") BOARD MANAGER 07/2017
HERRICK, THOMAS, OWEN Individual – BOARD MANAGER; CHIEF MARKET STRATEGIST, MANAGING DIRECTOR (CSPF); CHIEF INVESTMENT OFFICER (CSPAM) 08/2017 < 5%
STEWART, DOUGLAS, GUY Individual CARY STREET PARTNERS FINANCIAL LLC ("CSPF") BOARD MANAGER 08/2017
SLONECKER, DERRON, SCOTT Individual CARY STREET PARTNERS FINANCIAL LLC ("CSPF") BOARD MANAGER 08/2019
THOMPSON, JESSICA, LACEY Individual – BOARD MANAGER; CHIEF COMPLIANCE OFFICER & CORPORATE COUNSEL, MANAGING DIRECTOR (CSPF) 11/2020 < 5%
Gallup, Wesley Individual – BOARD MANAGER; CHIEF OPERATING OFFICER (CSPF) 02/2021 < 5%
TULLIDGE, THOMAS, HOGSHEAD Individual CARY STREET PARTNERS FINANCIAL LLC ("CSPF") BOARD MANAGER 03/2021
Hazel, Richard, Marshall Individual CARY STREET PARTNERS FINANCIAL LLC ("CSPF") BOARD MANAGER 12/2021
SCHMUCKLER, JOSEPH, REDMOND Individual – CHAIRMAN, BOARD MANAGER; CHIEF EXECUTIVE OFFICER (CSPF) 07/2015 < 5%
BAYNE, WALTER, DONALD Individual – BOARD MANAGER; PRESIDENT, MANAGING DIRECTOR (CSPF) 08/2017 < 5%
TULLIDGE, THOMAS, HOGSHEAD Individual – SECRETARY/TREASURER, BOARD MANAGER, MANAGING DIRECTOR; CHIEF STRATEGY OFFICER, LEGAL AND FINANCE (CSPF) 10/2017 < 5%
CHEN, HSUEHLIANG Individual – BOARD MANAGER; CHIEF TECHNOLOGY OFFICER (CSPF) 10/2016 < 5%
TEDESCO, MARIA, PIA Individual CARY STREET PARTNERS FINANCIAL LLC ("CSPF") BOARD MANAGER 06/2022
STOCKTON, KATHERINE, TOWNSHEND Individual CARY STREET PARTNERS FINANCIAL LLC ("CSPF") BOARD MANAGER 05/2023
Rubin, Matthew, L Individual – BOARD MANAGER; CHIEF INVESTMENT OFFICER (CSPF), MANAGING DIRECTOR 01/2024 < 5%

No. Employees, Historic

502502020202120222023202420254 on 3/27/20204 on 4/23/20204 on 4/23/20204 on 4/27/20204 on 5/4/20204 on 5/19/20204 on 6/1/20204 on 6/30/20204 on 7/30/20204 on 11/4/20204 on 11/9/20204 on 2/6/202136 on 3/31/202136 on 12/17/202136 on 12/21/202137 on 3/30/202237 on 4/19/202237 on 8/2/202239 on 3/30/202339 on 6/27/202339 on 11/1/202347 on 3/28/2024

RAUM, Historic

2B1B0202020212022202320242025484287678 on 3/27/2020484287678 on 4/23/2020484287678 on 4/23/2020484287678 on 4/27/2020484287678 on 5/4/2020484287678 on 5/19/2020484287678 on 6/1/2020484287678 on 6/30/2020484287678 on 7/30/2020484287678 on 11/4/2020484287678 on 11/9/2020484287678 on 2/6/20211007494715 on 3/31/20211007494715 on 12/17/20211007494715 on 12/21/20211290278675 on 3/30/20221290278675 on 4/19/20221290278675 on 8/2/20221291528595 on 3/30/20231291528595 on 6/27/20231291528595 on 11/1/20231481458222 on 3/28/2024

No. Clients, Historic

2,0001,00002020202120222023202420251597 on 3/27/20201597 on 4/23/20201597 on 4/23/20201597 on 4/27/20201597 on 5/4/20201597 on 5/19/20201597 on 6/1/20201597 on 6/30/20201597 on 7/30/20201597 on 11/4/20201597 on 11/9/20201597 on 2/6/20211245 on 3/31/20211245 on 12/17/20211245 on 12/21/20211336 on 3/30/20221336 on 4/19/20221336 on 8/2/20221411 on 3/30/20231411 on 6/27/20231411 on 11/1/20231513 on 3/28/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
NEUBERGER BERMAN ENERGY INFRA COM CEF 80K 10K –
ISHARES MSCI EUROZONE ETF ETF 200K 4K –
SPDR BLOOMBERG 1-3 MONTH T-BILL ETF ETF 202K 2K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS ADR 208K 1K –
ISHARES MSCI INTL QUALITY FACTOR ETF ETF 208K 5K –
BROADCOM INC COM Stock 218K 136 –
VANGUARD FTSE EUROPE ETF ETF 222K 3K –
ISHARES IBONDS DEC 2024 TERM MUNI BOND ETF ETF 223K 9K –
ISHARES IBONDS DEC 2024 TERM TREASURY ETF ETF 228K 10K –
KIMBERLY-CLARK CORP COM Stock 231K 2K –
BLACKROCK SHORT DURATION BOND ETF ETF 237K 5K –
S&P GLOBAL INC COM Stock 240K 538 –
JPMORGAN BETABUILDERS JAPAN ETF ETF 247K 4K –
GENERAL DYNAMICS CORP COM Stock 247K 853 –
ANALOG DEVICES INC COM Stock 257K 1K –
LINDE PLC SHS Stock 262K 598 –
VANGUARD FTSE ALL-WORLD EX-US INDEX FUND ETF 275K 5K –
ASML HOLDING N V N Y REGISTRY SHS ADR 279K 273 –
US BANCORP DEL COM NEW Stock 281K 7K –
EMERSON ELEC CO COM Stock 292K 3K –
NU HLDGS LTD ORD SHS CL A Stock 304K 24K –
3M CO COM Stock 304K 3K –
VERIZON COMMUNICATIONS INC COM Stock 304K 7K –
INTERCONTINENTAL EXCHANGE INC COM Stock 315K 2K –
L3HARRIS TECHNOLOGIES INC COM Stock 315K 1K –
MONDELEZ INTL INC CL A Stock 324K 5K –
ISHARES RUSSELL 2000 ETF ETF 328K 2K –
UNION PAC CORP COM Stock 336K 1K –
SPDR S&P OIL & GAS EXPLORATION & PRODUCTION ETF ETF 337K 2K –
INTEL CORP COM Stock 338K 11K –
VANGUARD MEGA CAP GROWTH ETF ETF 354K 1K –
COSTCO WHSL CORP NEW COM Stock 365K 429 –
COMCAST CORP NEW CL A Stock 368K 9K –
DANAHER CORPORATION COM Stock 377K 2K –
MCCORMICK & CO INC COM NON VTG Stock 380K 5K –
ISHARES GLOBAL HEALTHCARE ETF ETF 381K 4K –
ISHARES CORE S&P 500 ETF ETF 383K 699 –
SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF ETF 390K 6K –
UNITEDHEALTH GROUP INC COM Stock 391K 767 –
TOAST INC CL A Stock 398K 15K –
DIAGEO PLC SPON ADR NEW ADR 402K 3K –
PARKER-HANNIFIN CORP COM Stock 402K 794 –
ORACLE CORP COM Stock 423K 3K –
PEPSICO INC COM Stock 434K 3K –
MASTERCARD INCORPORATED CL A Stock 435K 986 –
APOLLO GLOBAL MGMT INC COM Stock 444K 4K –
PROCTER AND GAMBLE CO COM Stock 461K 3K –
TEXAS INSTRS INC COM Stock 471K 2K –
ISHARES MSCI CHINA ETF ETF 473K 11K –
VANGUARD TOTAL INTERNATIONAL BOND ETF ETF 473K 10K –
COCA COLA CO COM Stock 482K 8K –
VANGUARD TOTAL STOCK MARKET ETF ETF 482K 2K –
WASTE MGMT INC DEL COM Stock 485K 2K –
TRANE TECHNOLOGIES PLC SHS Stock 489K 1K –
PFIZER INC COM Stock 493K 18K –
MCDONALDS CORP COM Stock 496K 2K –
ISHARES RUSSELL 1000 VALUE ETF ETF 497K 3K –
VANGUARD FTSE DEVELOPED MARKETS ETF ETF 503K 10K –
AVERY DENNISON CORP COM Stock 513K 2K –
CHEVRON CORP NEW COM Stock 522K 3K –
NESTLE S A SPONSORED ADR ADR 532K 5K –
SPDR S&P DIVIDEND ETF ETF 543K 4K –
VANGUARD SMALL-CAP GROWTH ETF ETF 566K 2K –
NOVARTIS AG SPONSORED ADR ADR 571K 5K –
VANGUARD SHORT-TERM CORPORATE BOND ETF ETF 584K 8K –
BANK AMERICA CORP COM Stock 590K 15K –
INVESCO S&P 500 EQUAL WEIGHT TECHNOLOGY ETF ETF 597K 16K –
ISHARES MSCI EMERGING MARKETS EX CHINA ETF ETF 652K 11K –
ISHARES IBONDS DEC 2027 TERM CORPORATE ETF ETF 661K 28K –
VANGUARD INFORMATION TECHNOLOGY ETF ETF 662K 1K –
Energy Select Sector SPDR Fund ETF 665K 7K –
ALPHABET INC CAP STK CL A Stock 682K 4K –
ISHARES RUSSELL 1000 GROWTH ETF ETF 704K 2K –
Financial Select Sector SPDR Fund ETF 707K 17K –
AMERICAN EXPRESS CO COM Stock 712K 3K –
PACER US SMALL CAP CASH COWS 100 ETF ETF 734K 17K –
VANGUARD MORTGAGE-BACKED SECURITIES ETF ETF 739K 16K –
VISA INC COM CL A Stock 781K 3K –
ZIMMER BIOMET HOLDINGS INC COM Stock 787K 7K –
EXXON MOBIL CORP COM Stock 810K 7K –
ECOLAB INC COM Stock 811K 3K –
ISHARES MSCI EAFE ETF ETF 821K 10K –
SCHWAB U.S. LARGE-CAP GROWTH ETF ETF 896K 9K –
PNC FINL SVCS GROUP INC COM Stock 899K 6K –
VANGUARD MID-CAP ETF ETF 957K 4K –
ISHARES CORE MSCI TOTAL INTERNATIONAL STOCK ETF ETF 958K 14K –
PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 963K 11K –
VANGUARD TOTAL BOND MARKET ETF ETF 1M 14K –
QUADRATIC INTEREST RATE VOLATILITY & INFLATION HEDGE ETF ETF 1M 55K –
ZOETIS INC CL A Stock 1M 6K –
BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 1M 3K –
SILVERCREST ASSET MGMT GROUP I CL A Stock 1M 69K –
JPMORGAN INTERNATIONAL BOND OPPORTUNITIES ETF ETF 1M 23K –
SPDR PORTFOLIO HIGH YIELD BOND ETF ETF 1M 47K –
COLGATE PALMOLIVE CO COM Stock 1M 11K –
KINDER MORGAN INC DEL COM Stock 1M 63K –
ISHARES IBONDS DEC 2025 TERM CORPORATE ETF ETF 1M 51K –
SPDR PORTFOLIO S&P 500 VALUE ETF ETF 1M 26K –
VANGUARD SMALL-CAP ETF ETF 1M 6K –
VANGUARD MID-CAP GROWTH ETF ETF 1M 6K –
ULTA BEAUTY INC COM Stock 1M 4K –
ISHARES IBONDS DEC 2024 TERM CORPORATE ETF ETF 1M 56K –
VANGUARD INTERMEDIATE-TERM BOND ETF ETF 1M 20K –
VANGUARD LARGE-CAP ETF ETF 1M 29K –
ISHARES IBONDS DEC 2026 TERM CORPORATE ETF ETF 1M 62K –
INVESCO S&P 500 EQUAL WEIGHT ETF ETF 2M 10K –
ADVANCED MICRO DEVICES INC COM Stock 2M 10K –
AKAMAI TECHNOLOGIES INC COM Stock 2M 18K –
BOEING CO COM Stock 2M 10K –
VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF ETF 2M 26K –
WESTERN ASSET TOTAL RETURN ETF ETF 2M 92K –
MSC INDL DIRECT INC CL A Stock 2M 23K –
LYONDELLBASELL INDUSTRIES N V SHS - A - Stock 2M 20K –
SPDR PORTFOLIO SHORT TERM TREASURY ETF ETF 2M 67K –
TARGET CORP COM Stock 2M 13K –
MARSH & MCLENNAN COS INC COM Stock 2M 9K –
INTERNATIONAL BUSINESS MACHS COM Stock 2M 12K –
WILLIS TOWERS WATSON PLC LTD SHS Stock 2M 8K –
FEDERAL AGRIC MTG CORP CL C Stock 2M 11K –
MARRIOTT INTL INC NEW CL A Stock 2M 9K –
ABBOTT LABS COM Stock 2M 20K –
MEDTRONIC PLC SHS Stock 2M 27K –
FIDELITY NATIONAL FINANCIAL IN FNF GROUP COM Stock 2M 43K –
STRYKER CORPORATION COM Stock 2M 6K –
LAM RESEARCH CORP COM Stock 2M 2K –
WISDOMTREE PUTWRITE STRATEGY FUND ETF 2M 70K –
HUNTINGTON BANCSHARES INC COM Stock 2M 178K –
MORGAN STANLEY COM NEW Stock 2M 25K –
GOLDMAN SACHS GROUP INC COM Stock 2M 6K –
VANGUARD S&P MID-CAP 400 GROWTH ETF ETF 2M 23K –
TOYOTA MOTOR CORP ADS ADR 3M 12K –
BECTON DICKINSON & CO COM Stock 3M 11K –
DISNEY WALT CO COM Stock 3M 26K –
JPMORGAN HEDGED EQUITY LADDERED OVERLAY ETF ETF 3M 46K –
PRUDENTIAL FINL INC COM Stock 3M 23K –
UNITED PARCEL SERVICE INC CL B Stock 3M 20K –
TJX COS INC NEW COM Stock 3M 25K –
KENVUE INC COM Stock 3M 156K –
BOOZ ALLEN HAMILTON HLDG CORP CL A Stock 3M 19K –
EVEREST GROUP LTD COM Stock 3M 8K –
SCHWAB US DIVIDEND EQUITY ETF ETF 3M 37K –
THERMO FISHER SCIENTIFIC INC COM Stock 3M 5K –
AMERICAN TOWER CORP NEW COM REIT 3M 15K –
JANUS HENDERSON B-BBB CLO ETF ETF 3M 62K –
THE CIGNA GROUP COM Stock 3M 9K –
CISCO SYS INC COM Stock 3M 66K –
RTX CORPORATION COM Stock 3M 31K –
ISHARES MSCI EAFE GROWTH ETF ETF 3M 31K –
VANGUARD SHORT-TERM BOND ETF ETF 3M 42K –
UNILEVER PLC (US ADR) ADR 3M 60K –
NXP SEMICONDUCTORS N V COM Stock 3M 12K –
ISHARES 10-20 YEAR TREASURY BOND ETF ETF 3M 33K –
HALLIBURTON CO COM Stock 3M 100K –
NVIDIA CORPORATION COM Stock 3M 27K –
FISERV INC COM Stock 3M 23K –
ADOBE INC COM Stock 3M 6K –
JANUS HENDERSON MORTGAGE-BACKED SECURITIES ETF ETF 4M 79K –
SHELL PLC SPON ADS ADR 4M 49K –
SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF ETF 4M 106K –
DEVON ENERGY CORP NEW COM Stock 4M 80K –
PHILLIPS 66 COM Stock 4M 28K –
META PLATFORMS INC CL A Stock 4M 8K –
TE CONNECTIVITY LTD SHS Stock 4M 27K –
AMAZON COM INC COM Stock 4M 21K –
ACCENTURE PLC IRELAND SHS CLASS A Stock 4M 14K –
ABBVIE INC COM Stock 4M 25K –
SPDR PORTFOLIO MORTGAGE BACKED BOND ETF ETF 4M 200K –
FEDEX CORP COM Stock 4M 15K –
LINCOLN ELEC HLDGS INC COM Stock 4M 24K –
CITIZENS FINL GROUP INC COM Stock 5M 127K –
JOHNSON CTLS INTL PLC SHS Stock 5M 80K –
SYSCO CORP COM Stock 6M 79K –
JOHNSON & JOHNSON COM Stock 6M 41K –
iShares U.S. Technology ETF ETF 6M 39K –
SPDR S&P 500 ETF TRUST ETF 6M 12K –
JPMORGAN CHASE & CO. COM Stock 6M 31K –
SPDR PORTFOLIO S&P 400 MID CAP ETF ETF 6M 126K –
LOWES COS INC COM Stock 7M 30K –
JPMORGAN INCOME ETF ETF 7M 146K –
ISHARES MSCI EAFE VALUE ETF ETF 7M 131K –
QUALCOMM INC COM Stock 7M 35K –
MERCK & CO INC COM Stock 7M 60K –
WisdomTree Floating Rate Treasury Fund ETF 8M 156K –
ALPHABET INC CAP STK CL C Stock 8M 43K –
APPLE INC COM Stock 8M 37K –
VANGUARD MID-CAP VALUE ETF ETF 9M 86K –
AMPLIFY CWP ENHANCED DIVIDEND INCOME ETF ETF 10M 254K –
SPDR PORTFOLIO LONG TERM TREASURY ETF ETF 10M 379K –
JPMorgan Nasdaq Equity Premium Income ETF ETF 11M 192K –
MICROSOFT CORP COM Stock 12M 26K –
BLACKROCK ULTRA SHORT-TERM BOND ETF ETF 12M 241K –
VANGUARD RUSSELL 1000 GROWTH ETF ETF 12M 131K –
SPDR PORTFOLIO S&P 500 ETF ETF 13M 200K –
SPDR PORTFOLIO S&P 600 SMALL CAP ETF ETF 13M 318K –
TCW FLEXIBLE INCOME ETF ETF 14M 358K –
PGIM PORTFOLIO BALLAST ETF ETF 14M 510K –
VANGUARD RUSSELL 1000 VALUE ETF ETF 16M 211K –
JPMORGAN EQUITY PREMIUM INCOME ETF ETF 16M 289K –
VANGUARD GROWTH ETF ETF 21M 56K –
SPDR PORTFOLIO S&P 500 GROWTH ETF ETF 24M 306K –
NEUBERGER BERMAN OPTION STRATEGY ETF ETF 29M 1M –
VANGUARD VALUE ETF ETF 31M 193K –
Fairlead Tactical Sector ETF ETF 64M 2M –