Chief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee · Brockenbrough
David A. Lyons
CRD 1624727 · Named on Form ADV at one SEC-registered adviser
At a glance
Brockenbrough, an SEC-registered private fund adviser based in Richmond, VA with $5.5 billion in regulatory assets, lists David A. Lyons on its Form ADV as Chief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee, a control person.
Firms and roles
- BrockenbroughChief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive CommitteePrivate fund adviser · Richmond, VA · $5.5B in regulatory assets
AtlasMembers
David’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
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- Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 1996 (30 years)
- Designations
- Chartered Financial Analyst
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
David’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
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- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Colleagues named on the same filings (6)
- Austin Brockenbrough IIIManaging Director & Chairman of the Board, Brockenbrough
- Charles M. CaravatiManaging Director & Secretary; Executive Committee, Brockenbrough
- Austin Brockenbrough IVManaging Director; President; Executive Committee, Brockenbrough
- Walter S. RobertsonManaging Director; Executive Committee, Brockenbrough
- Christopher J. DionManaging Director; Executive Committee, Brockenbrough
1 more person named with David on the same filings, with titles and firms. Free in Atlas with a free account.
See all 6 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.