INVESTMENT MANAGEMENT OF VIRGINIA, LLC
Adviser information for INVESTMENT MANAGEMENT OF VIRGINIA, LLC last updated from Form ADV on May 16th, 2023. 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 | 10 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 468 | $568.4M |
| Non-Discretionary | 1 | $3.0M |
| Total | 469 | $571.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 285 | $101.3M |
| HNW Individuals | 147 | $385.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $3.8M |
| Charitable organizations | 15 | $28.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $18.3M |
| Other | 18 | $33.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 33.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AMC ADVANTAGE PROGRAM | TRUIST INVESTMENT SERVICES, INC. |
| PRIVATE ADVISOR NETWORK PROGRAM | WELLS FARGO CLEARING SERVICES, LLC |
| MANAGED ACCOUNT ACCESS PROGRAM | CHARLES SCHWAB & CO., INC. |
| MANAGED ACCOUNT CONSULTING PROGRAM | D.A. DAVIDSON & CO. |
Principal Office
7231 FOREST AVENUESUITE 204
RICHMOND
VA
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 804-643-1100, Fax: 804-643-7599
Websites
Chief Compliance Officer
JOHN H. BOCOCK
CHIEF COMPLIANCE OFFICER
7231 FOREST AVENUE
SUITE 204
RICHMOND
VA
United States
Tel:
(804) 643-1100
Fax:
(804) 643-7599
J******@*******T
(Full email address available in API data)
Regulatory Contact
DIANA C. KAMBOURIAN
MARKETING COORDINATOR
7231 FOREST AVENUE
SUITE 204
RICHMOND
VA
United States
Tel:
(804) 643-1100
Fax:
(804) 643-7599
D**********@*******T
(Full email address available in API data)
Industry Affiliates
| PINNACLE ASSOCIATES, LTD. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOCOCK, JOHN, HOLMES | Individual | – | CHAIRMAN, DIRECTOR, CHIEF COMPLIANCE OFFICER | 07/2000 | < 5% |
| GUNTER, BRADLEY, HUNT | Individual | – | PRESIDENT/DIRECTOR | 07/2000 | < 5% |
| MCVEY, GEORGE, JENNINGS | Individual | – | DIRECTOR, CHIEF FINANCIAL OFFICER | 07/2000 | < 5% |
| NEUHAUS, THOMAS, FRIEDICH | Individual | – | DIRECTOR, PORTFOLIO MANAGER | 01/2012 | < 5% |
| PINNACLE ASSOCIATES, LTD. | Domestic Entity | – | OWNER | 05/2023 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed April 26th, 2023 for period ending March 31st, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M Co. | COM | 1M | 14K | – |
| AT&T Inc. | COM | 1M | 73K | – |
| AT&T Inc. | COM | 8K | 396 | – |
| AbbVie Inc. | COM | 11M | 71K | – |
| AbbVie Inc. | COM | 179K | 1K | – |
| Abbott Labs. | COM | 4M | 39K | – |
| Abbott Labs. | COM | 18K | 175 | – |
| Adobe Systems | COM | 2M | 4K | – |
| Albemarle Corporation | COM | 530K | 2K | – |
| Alexander & Baldwin | COM | 7M | 386K | – |
| Allied Motion Technologies | COM | 8M | 215K | – |
| Alphabet Inc. (A) | COM | 2M | 21K | – |
| Alphabet Inc. (C) | COM | 1M | 14K | – |
| Altria Group Inc. | COM | 408K | 9K | – |
| Amazon.com, Inc. | COM | 3M | 32K | – |
| American Elec Pwr Inc | COM | 2M | 17K | – |
| American Express Co. | COM | 12M | 74K | – |
| American Woodmark Corp. | COM | 971K | 19K | – |
| Analog Devices Inc. | COM | 417K | 2K | – |
| Apple, Inc. | COM | 11M | 66K | – |
| Argan Inc. | COM | 826K | 20K | – |
| Atlantic Union Bankshares Corp | COM | 10M | 279K | – |
| Automatic Data Processing | COM | 4M | 17K | – |
| BWX Technologies Inc. | COM | 9M | 139K | – |
| Bank of America Corp. | COM | 2M | 64K | – |
| Bank of America Corp. | COM | 51K | 2K | – |
| Becton, Dickinson & Co. | COM | 3M | 13K | – |
| Bel Fuse, Inc. Cl B | CL B | 2M | 53K | – |
| Berkshire Hathaway B | CL B NEW | 3M | 8K | – |
| Blackrock Inc. | COM | 2M | 3K | – |
| Blackrock Inc. | COM | 117K | 175 | – |
| Blackstone Inc. | COM | 5M | 55K | – |
| Boeing Co. | COM | 216K | 1K | – |
| BorgWarner Inc. | COM | 900K | 18K | – |
| Bristol Myers Squibb Co. | COM | 11M | 159K | – |
| Bristol Myers Squibb Co. | COM | 98K | 1K | – |
| Broadcom Limited | COM | 6M | 9K | – |
| Broadcom Limited | COM | 96K | 150 | – |
| Broadridge Financial Solutions | COM | 418K | 3K | – |
| Broadridge Financial Solutions | COM | 81K | 550 | – |
| CASS Information Systems, Inc. | COM | 1M | 29K | – |
| CSX Corporation | COM | 341K | 11K | – |
| CTO Realty Growth Inc. | COM | 918K | 53K | – |
| CVS Health Corp. | COM | 3M | 37K | – |
| CVS Health Corp. | COM | 52K | 700 | – |
| Capital One Finl Corp. | COM | 388K | 4K | – |
| Carrier Global Corp. | COM | 1M | 25K | – |
| Caterpillar, Inc. | COM | 3M | 14K | – |
| Chesapeake Energy Corp. | COM | 4M | 52K | – |
| Chevron Corp. | COM | 5M | 33K | – |
| Cisco Systems | COM | 6M | 111K | – |
| Cisco Systems | COM | 78K | 2K | – |
| Coca-Cola Company | COM | 494K | 8K | – |
| CollPlant Biotechnologies Ltd. | ADS | 3M | 464K | – |
| Comcast Corp Cl A | CL A | 3M | 82K | – |
| Communication Services Select | COM | 4M | 65K | – |
| Conoco Phillips | COM | 2M | 18K | – |
| Consolidated Edison Co Of N.Y. | COM | 2M | 23K | – |
| Consumer Discretionary Select | COM | 2M | 11K | – |
| Corteva Inc. | COM | 660K | 11K | – |
| Costco Whsl Corp. New | COM | 4M | 8K | – |
| Credit Suisse Asst Mgm Com | COM | 45K | 17K | – |
| Cross Country Healthcare Inc. | COM | 7M | 321K | – |
| Danaher Corp. | COM | 3M | 14K | – |
| Dominion Energy, Inc. | COM | 553K | 10K | – |
| Dow, Inc. | COM | 2M | 28K | – |
| DuPont de Nemours, Inc. | COM | 889K | 12K | – |
| Duke Energy Corp. | COM | 660K | 7K | – |
| Duke Energy Corp. | COM | 68K | 700 | – |
| EOG Resources Inc. | COM | 4M | 32K | – |
| Eaton Corp. PLC | SHS | 1M | 7K | – |
| Eaton Corp. PLC | SHS | 77K | 450 | – |
| Elevance Health, Inc. | COM | 273K | 594 | – |
| Emerson Elec Co | COM | 2M | 20K | – |
| Energy Select Sector SPDR Fund | COM | 5M | 63K | – |
| Exxon Mobil Corp. | COM | 5M | 41K | – |
| Fastenal Co. | COM | 206K | 4K | – |
| Fedex Corp. | COM | 6M | 24K | – |
| Fedex Corp. | COM | 91K | 400 | – |
| Fiserv Inc. Com | COM | 309K | 3K | – |
| Freeport-McMoran, Inc. Cl B | CL B | 261K | 6K | – |
| Gentex Corp. | COM | 2M | 72K | – |
| Genuine Parts | COM | 242K | 1K | – |
| Genuine Parts | COM | 83K | 497 | – |
| Globalstar, Inc. | SPONSORED ADR | 93K | 80K | – |
| Hackett Group, Inc. | COM | 3M | 168K | – |
| Hain Celestial Group, Inc. | COM | 930K | 54K | – |
| Hanover Ins Group Inc | COM | 2M | 16K | – |
| Helios Technologies | COM | 1M | 19K | – |
| Hilton Hotels Corp. Com. | COM | 5M | 33K | – |
| Home Depot, Inc. | COM | 3M | 12K | – |
| Hudson Technologies, Inc. | COM | 655K | 75K | – |
| IShares Tr S&P Small-Cap 600 G | S&P SML 600 GWT | 3M | 25K | – |
| IShares Tr S&P Small-Cap 600 G | S&P SML 600 GWT | 1K | 10 | – |
| Idexx Labs Inc. | COM | 903K | 2K | – |
| Intel Corporation | COM | 2M | 69K | – |
| International Business Machs. | COM | 5M | 40K | – |
| International Business Machs. | COM | 77K | 585 | – |
| Intrepid Potash Inc. | COM | 6M | 211K | – |
| Invesco QQQ Trust ETF | UNIT SER 1 | 11M | 35K | – |
| Invesco QQQ Trust ETF | UNIT SER 1 | 2K | 7 | – |
| Invesco S&P 500 Equal Weight E | S&P 500 EQL WGT | 2M | 14K | – |
| iShares Global Clean Energy ET | GL CLEAN ENE ETF | 342K | 17K | – |
| Ishares TR Russell 2000 ETF | RUSSELL 2000 ETF | 1M | 7K | – |
| Ishares Tr Nasdaq Bio Index ET | ISHARES BIOTECH | 322K | 2K | – |
| J. P. Morgan Chase | COM | 7M | 55K | – |
| Johnson & Johnson | COM | 3M | 21K | – |
| KVH Industries, Inc. | COM | 115K | 10K | – |
| Kinder Morgan, Inc. | COM | 1M | 81K | – |
| Kroger Co. | COM | 2M | 41K | – |
| Kroger Co. | COM | 118K | 2K | – |
| Laboratory Corp. of America Ho | COM NEW | 206K | 900 | – |
| Lennar Corp. Class A | COM | 1M | 13K | – |
| Lilly Eli & Co | COM | 3M | 8K | – |
| Lowes Cos Inc | COM | 2M | 11K | – |
| Lowes Cos Inc | COM | 200K | 1K | – |
| Luna Innovations, Inc. | COM | 1M | 152K | – |
| MDC Holdings Inc. | COM | 8M | 213K | – |
| Markel Corp | COM | 7M | 5K | – |
| Mastercard Inc Cl A | CL A | 3M | 7K | – |
| Mastercard Inc Cl A | CL A | 363K | 1K | – |
| McCormick & Co Inc Com Non Vtg | COM NON VTG | 283K | 3K | – |
| McDonalds Corp | COM | 220K | 786 | – |
| Medical Properties Trust Inc. | COM | 239K | 29K | – |
| Medical Properties Trust Inc. | COM | 29K | 4K | – |
| Medtronic PLC | SHS | 2M | 25K | – |
| Merck & Co., Inc. | COM | 5M | 46K | – |
| Merck & Co., Inc. | COM | 106K | 994 | – |
| Meta Platforms Inc. | CL A | 276K | 1K | – |
| Microchip Technology | COM | 4M | 52K | – |
| Microchip Technology | COM | 235K | 3K | – |
| Microsoft Corp. | COM | 13M | 45K | – |
| Mondelez International Inc. | CL A | 1M | 15K | – |
| Mondelez International Inc. | CL A | 24K | 350 | – |
| NVIDIA Corporation | COM | 592K | 2K | – |
| New Fortress Energy Inc. | COM CL A | 3M | 104K | – |
| Newmarket Corp. | COM | 277K | 760 | – |
| Nexstar Media Group, Inc. | CL A | 356K | 2K | – |
| Norfolk Southern Corp. | COM | 2M | 8K | – |
| Oaktree Specialty Lending Corp | COM | 11M | 575K | – |
| OmniAb, Inc. | COM | 73K | 20K | – |
| Oracle Systems Corporation | COM | 2M | 19K | – |
| Otis Worldwide Corporation | COM | 1M | 14K | – |
| PRA Group Inc. | COM | 6M | 166K | – |
| Palo Alto Networks, Inc. | COM | 809K | 4K | – |
| PayPal Holdings Inc. | COM | 6M | 73K | – |
| Paychex, Inc. | COM | 438K | 4K | – |
| Pepsico, Inc. | COM | 5M | 29K | – |
| Pepsico, Inc. | COM | 109K | 600 | – |
| Pfizer Inc. | COM | 3M | 67K | – |
| Philip Morris International, I | COM | 485K | 5K | – |
| Pioneer Nat. Res. Co. | COM | 2M | 8K | – |
| Prestige Consumer Healthcare I | COM | 2M | 24K | – |
| ProShares Russell 2000 Div Gro | RUSS 2000 DIVD | 1M | 24K | – |
| ProShares S&P MidCap 400 Div A | S&P MDCP 400 DIV | 15M | 213K | – |
| ProShares S&P MidCap 400 Div A | S&P MDCP 400 DIV | 1K | 16 | – |
| Procter & Gamble Co. | COM | 4M | 30K | – |
| Progressive Corp Ohio Com | COM | 2M | 11K | – |
| Qualcomm, Inc. | COM | 9M | 70K | – |
| Qualcomm, Inc. | COM | 22K | 175 | – |
| Quidelortho Corp. | COM | 3M | 34K | – |
| Raytheon Technologies Corporat | COM | 2M | 18K | – |
| Richardson Electronics, Ltd. | COM | 956K | 43K | – |
| Royal Bank of Canada | COM | 2M | 20K | – |
| SLB | COM STK | 5M | 107K | – |
| SPDR Dow Jones Industrial Aver | UT SER 1 | 13M | 38K | – |
| SPDR Dow Jones Industrial Aver | UT SER 1 | 665 | 2 | – |
| SPDR Portfolio S&P 500 Growth | PRTFLO S&P 500 GW | 1M | 23K | – |
| SPDR S&P 500 ETF Trust | TR UNIT | 7M | 18K | – |
| SPDR S&P 500 ETF Trust | TR UNIT | 18K | 45 | – |
| Sandy Spring Bancorp, Inc. | COM | 668K | 26K | – |
| Semler Scientific, Inc. | COM | 781K | 29K | – |
| Service Corp Intl | COM | 1M | 20K | – |
| Shattuck Labs, Inc. | COM | 1M | 506K | – |
| Shell PLC Sponsored ADR | SPON ADS | 3M | 45K | – |
| Shoe Carnival, Inc. | COM | 1M | 48K | – |
| Southern Co. | COM | 461K | 7K | – |
| Standard Motor Products, Inc. | COM | 3M | 69K | – |
| Sysco Corp. | COM | 1M | 18K | – |
| Texas Pacific Land Corporation | COM | 517K | 304 | – |
| The Kraft Heinz Company | COM | 403K | 10K | – |
| The Kraft Heinz Company | COM | 13K | 333 | – |
| Thermo Fisher Scientific | COM | 5M | 9K | – |
| Thryv Holdings, Inc. | COM NEW | 7M | 301K | – |
| Tidewater Inc. | COM | 3M | 60K | – |
| TotalEnergies SE Sponsored ADR | SPONSORED ADS | 2M | 29K | – |
| Travelers Co., Inc. | COM | 1M | 8K | – |
| Truist Financial Corporation | COM | 573K | 17K | – |
| Truist Financial Corporation | COM | 70K | 2K | – |
| U.S. Bancorp | COM NEW | 2M | 42K | – |
| Ulta Salon, Cosmetics & Fragra | COM | 2M | 3K | – |
| Unifi Inc. | COM NEW | 956K | 117K | – |
| Union Pacific Corp. | COM | 5M | 23K | – |
| Union Pacific Corp. | COM | 39K | 196 | – |
| United Parcel Service, Inc. | CL B | 4M | 19K | – |
| United Parcel Service, Inc. | CL B | 97K | 500 | – |
| United Rentals, Inc. | COM | 1M | 4K | – |
| UnitedHealth Group, Inc. | COM | 1M | 3K | – |
| Vanguard Communications Servic | COMM SRVC ETF | 2M | 23K | – |
| Vanguard Dividend Appreciation | DIV APP ETF | 222K | 1K | – |
| Vanguard Index Fds Mid Cap ETF | MID CAP ETF | 714K | 3K | – |
| Vanguard Information Technolog | INF TECH ETF | 20M | 52K | – |
| Verizon Communications | COM | 1M | 28K | – |
| Vicor Corporation | COM | 785K | 17K | – |
| Virginia National Bankshares C | COM | 279K | 8K | – |
| Visa Inc. | COM | 5M | 24K | – |
| Wal-Mart Stores | COM | 183K | 1K | – |
| Wal-Mart Stores | COM | 88K | 600 | – |
| Walgreens Boots Alliance, Inc. | COM | 1M | 32K | – |
| Waters Corp. | COM | 2M | 7K | – |
| Wells Fargo & Co. | COM | 3M | 73K | – |
| Wells Fargo & Co. | COM | 52K | 1K | – |
| White Mountains Group Bermuda | COM | 249K | 181 | – |
| World Fuel Services Corporatio | COM | 1M | 50K | – |
| Zoetis, Inc. Class A | CL A | 968K | 6K | – |