Individual
Entity2019 DYNASTY TRUSTStatusTRUSTEEReported since01/2019Ownership75% or moreControl personYes
Brockenbrough
Alpha Nasdaq OCIO Indices - ContributorRICHMOND, VA
Form ADV and provider website profile · CRD 105142 · regulatory data as of May 13, 2026
This profile compiles reported firm AUM, regulatory account counts, ownership information, and source-linked regulatory records for Brockenbrough. Firm-wide values may include business beyond OCIO services; review the linked filing before relying on a claim. How to interpret OCIO Intelligence data.
$5.5BReported Firm AUMReported Firm AUMTotal assets under management reported for the registered advisory firm. This may include businesses beyond its OCIO services.
568Total AccountsTotal AccountsTotal regulatory accounts reported in Form ADV Item 5.F. This is not necessarily the number of OCIO mandates or unique clients.
$4.8BDiscretionary AUMDiscretionary AUMFirm assets reported as discretionary, where the adviser generally has authority to make investment decisions within the client mandate.
$657MNon-discretionary AUMNon-discretionary AUMFirm assets reported as non-discretionary, where the client generally retains final investment decision authority.
Direct Owners & Executives
Source: Form ADV- Reported since
- 07/1970
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 12/1998
- Type
- Individual
- Control person
- Yes
- Ownership
- 5% but less than 10%
- Reported since
- 09/2000
- Type
- Individual
- Control person
- Yes
- Ownership
- 5% but less than 10%
- Reported since
- 12/2005
- Type
- Individual
- Control person
- Yes
- Ownership
- 5% but less than 10%
- Reported since
- 09/2016
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 01/2019
- Type
- Domestic entity
- Control person
- Yes
- Ownership
- 25% but less than 50%
- Reported since
- 01/2005
- Type
- Domestic entity
- Control person
- Yes
- Ownership
- 10% but less than 25%
- Reported since
- 12/2021
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
- Reported since
- 01/2025
- Type
- Individual
- Control person
- Yes
- Ownership
- Less than 5%
| Name | Title | Reported since | Type | Control person | Ownership |
|---|---|---|---|---|---|
| Austin Brockenbrough Iii | Managing Director & Chairman Of The Board | 07/1970 | Individual | Yes | Less than 5% |
| Charles Martin Caravati | Managing Director & Secretary; Executive Committee | 12/1998 | Individual | Yes | 5% but less than 10% |
| David Allen Lyons | Chief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee | 09/2000 | Individual | Yes | 5% but less than 10% |
| Austin Brockenbrough Iv | Managing Director; President; Executive Committee | 12/2005 | Individual | Yes | 5% but less than 10% |
| Walter Spencer Robertson | Managing Director; Executive Committee | 09/2016 | Individual | Yes | Less than 5% |
| 2019 Dynasty Trust | Owner | 01/2019 | Domestic entity | Yes | 25% but less than 50% |
| 2005 Trust | Owner | 01/2005 | Domestic entity | Yes | 10% but less than 25% |
| Christopher John Dion | Managing Director; Executive Committee | 12/2021 | Individual | Yes | Less than 5% |
| Matthew Philip Shaia | Managing Director; Executive Committee | 01/2025 | Individual | Yes | Less than 5% |
Indirect Ownership
Source: Form ADVIndividual
Entity2005 TRUSTStatusTRUSTEEReported since01/2005Ownership75% or moreControl personYes
Owners & Executives
Source: Form ADVAB
Austin Brockenbrough Iii
Managing Director & Chairman Of The Board
CM
Charles Martin Caravati
Managing Director & Secretary; Executive Committee
DA
David Allen Lyons
Chief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee
AB
Austin Brockenbrough Iv
Managing Director; President; Executive Committee
WS
Walter Spencer Robertson
Managing Director; Executive Committee
CJ
Christopher John Dion
Managing Director; Executive Committee
Names and titles are shown as reported in Form ADV.
Ownership & Governance
Direct owners & executives9
Indirect ownership records2
Regulatory statusSEC registered investment adviser
SEC registration dateJul 1, 1970
CRD number105142