{"url":"https://nivawealth.com/firms/atlantic-union-municipal-advisors-329425","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/329425","regulatoryAum":134277990,"crd":"329425","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3039426","suffix":null,"lastName":"DAVIS","firstName":"ANDREW","middleName":"DOUGLAS"},{"crd":"5878736","suffix":null,"lastName":"OCKERMAN","firstName":"JOHN","middleName":"FOSTER"},{"crd":"7657793","suffix":null,"lastName":"Spong","firstName":"Ellen","middleName":"Elizabeth"},{"crd":"2836105","suffix":null,"lastName":"YORK","firstName":"MITCHELL","middleName":"PAUL"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-07-22","regulatoryAum":195417417,"clients":9,"employees":4,"offices":1},{"filedOn":"2025-03-18","regulatoryAum":185400813,"clients":8,"employees":4,"offices":1},{"filedOn":"2026-05-26","regulatoryAum":134277990,"clients":0,"employees":4,"offices":1}],"secFileNumber":"801-129419","legalName":"Atlantic Union Municipal Advisors, Inc","displayName":"Atlantic Union Municipal Advisors","slug":"atlantic-union-municipal-advisors-329425","website":null,"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Virginia corporation","fiscalYearEnd":"December","headquarters":{"street":"4300 Cox Road","city":"Glen Allen","state":"VA","stateName":"Virginia","country":"United States","postalCode":"23060"},"tradeNames":[],"registration":{"secApproved":"26 January 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":134277990,"discretionary":134277990,"discretionaryAccounts":1,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"State or municipal government entities","clients":null,"fewerThan5":true,"regulatoryAum":134277990}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Atlantic Union Municipal Advisors does not have custody of client assets.","leadership":[{"name":"John Ockerman","title":"Vice President, Treasurer","crd":"5878736"},{"name":"Ellen Spong","title":"Vice President, Treasurer","crd":"7657793"},{"name":"Mitchell York","title":"President","crd":"2836105"},{"name":"Sothara Chin","title":"Chief Compliance Officer","crd":"2063804"}],"ownership":[{"label":"Atlantic Union Bank","detail":"Corporation in the 75% or more ownership band and a control person, since October 2023."},{"label":"Atlantic Union Bankshares Corporation","detail":"Indirect owner: a corporation of Atlantic Union Bank in the 75% or more band and a control person, since October 2023.","parent":"Atlantic Union Bank"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Virginia","offices":1,"addresses":[{"street":"4300 Cox Road","city":"Glen Allen","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"80480249556055","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"U.S. government/agency bonds","percent":60},{"label":"U.S. state and local bonds","percent":8},{"label":"Investment grade corporate bonds","percent":10},{"label":"Cash and cash equivalents","percent":22}],"privateFunds":0},"sources":{"adv1FilingDate":"26 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/329425/PDF/329425.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"What services does Atlantic Union Municipal Advisors offer?","answer":"Atlantic Union Municipal Advisors provides portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Atlantic Union Municipal Advisors have?","answer":"Atlantic Union Municipal Advisors has 0 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Atlantic Union Municipal Advisors invest in?","answer":"At the end of its last fiscal year, Atlantic Union Municipal Advisors’ separately managed accounts held 60% U.S. government and agency bonds, 22% cash and equivalents, 10% investment grade corporate bonds and 8% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Atlantic Union Municipal Advisors?","answer":"Atlantic Union Municipal Advisors is owned through a holding company by Atlantic Union Bankshares Corporation. Its direct owner is Atlantic Union Bank (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Atlantic Union Municipal Advisors get paid?","answer":"Atlantic Union Municipal Advisors is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Atlantic Union Municipal Advisors registered with the SEC?","answer":"Yes, Atlantic Union Municipal Advisors has been registered with the SEC as an investment adviser since 26 January 2024. Its CRD number is 329425 and its SEC file number is 801-129419.","source":"Form ADV Part 1A, Item 1, filed 26 May 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Atlantic Union Municipal Advisors?","answer":"Atlantic Union Municipal Advisors’ main office is at 4300 Cox Road, Glen Allen, VA 23060. Its phone number is 80480249556055.","source":"Form ADV Part 1A, Item 1.F, filed 26 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}