Charles Caravati has been Managing Director & Secretary and Executive Committee of Lowe, Brockenbrough & Company since December 1998, is a control person of the firm and directly owns between 5% and 10% of it. Charles Caravati holds an M.B.A. from the University of Virginia.
Lowe, Brockenbrough & Company, Inc. is a Richmond, VA firm with $5.49B under management, 568 clients and 15 advisers in one office, as of its May 2026 filing.
Charles M. Caravati III is Chief Investment Officer of Brockenbrough and a member of its Executive Committee. He is responsible for investment policy, asset allocation and portfolio strategies. Caravati joined Brockenbrough in 1992; before that he was an account manager at Nations Bank.
Professional designations
Listed by Lowe, Brockenbrough & Company
- CFA
Investment adviser representative registrations
Charles Caravati is registered as an investment adviser representative in Virginia, since June 1993.
- VirginiaSince 22 June 1993
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 January 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 March 1989 |
| Series 7 | General Securities Representative Examination | 15 October 1988 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Charles Martin Caravati
- CRD
- 1888374
- Firm
- Lowe, Brockenbrough & Company · CRD 105142
- Role
- Managing Director & Secretary; Executive Committee
- Office
- 920 LIBBIE AVE., SUITE 201, Richmond, VA 23226-2050
- Registration
- Investment adviser registration
- In the industry since
- June 1993
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- brockenbroughinc.com
Where does Charles Caravati work?
Charles Caravati has been Managing Director & Secretary; Executive Committee of Lowe, Brockenbrough & Company, Inc. since December 1998, and is a control person of the firm.
Is Charles Caravati a financial advisor?
Yes. Charles Caravati has a current investment-adviser registration in Virginia, through Lowe, Brockenbrough & Company since June 1993.
How many years of experience does Charles Caravati have?
Charles Caravati has 33 years in the financial industry, since June 1993, across 1 adviser firm.
What exams has Charles Caravati passed?
Charles Caravati has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in October 1988.
Where is Charles Caravati based?
Charles Caravati’s registered office is in Richmond, VA.
Is Charles Caravati registered with FINRA?
No. Charles Caravati has no current broker registration.
Is Charles Caravati a CFA charterholder?
Lowe, Brockenbrough & Company lists Charles Caravati with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
Source: Charles M. Caravati III, CFA biography, brockenbroughinc.com
How can I verify Charles Caravati’s record?
Search CRD 1888374 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Caravati’s full registration record.
Austin Brockenbrough IVManaging Director; President; Executive Committee
David LyonsChief Compliance Officer (01/2021); Managing Director; Treasurer (09/2000) ; Executive Committee
Austin Brockenbrough IIIManaging Director & Chairman of the Board
Christopher DionManaging Director; Executive Committee
Walter RobertsonManaging Director; Executive Committee
Matthew ShaiaManaging Director; Executive Committee