{"url":"https://nivawealth.com/firms/richmond-capital-management-104636","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104636","regulatoryAum":5933762000,"crd":"104636","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1390430","suffix":null,"lastName":"BOS","firstName":"HOWARD","middleName":"KYGER"},{"crd":"8069336","suffix":null,"lastName":"Contreras","firstName":"Luis","middleName":null},{"crd":"2694105","suffix":"III","lastName":"GLATT","firstName":"OTTO","middleName":"GREGORY"},{"crd":"2639456","suffix":null,"lastName":"HARRIS","firstName":"ELIZABETH","middleName":"MCDERMOTT"},{"crd":"1761550","suffix":null,"lastName":"MCDOWELL","firstName":"ROY","middleName":"WHEATLEY"},{"crd":"4664157","suffix":"JR.","lastName":"ROARK","firstName":"PATTON","middleName":"HOWELL"},{"crd":"7064274","suffix":null,"lastName":"Rosa","firstName":"Stephen","middleName":"Mark"},{"crd":"5793275","suffix":null,"lastName":"Sejnost","firstName":"Nicholas","middleName":"Todd"},{"crd":"7128819","suffix":null,"lastName":"SIDES","firstName":"JOHN","middleName":"RANDOLPH"}],"total":9,"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":"2021-05-05","regulatoryAum":6495353000,"clients":233,"employees":19,"offices":1},{"filedOn":"2022-06-27","regulatoryAum":6591276000,"clients":211,"employees":21,"offices":1},{"filedOn":"2023-03-24","regulatoryAum":5376196000,"clients":199,"employees":21,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":5585261000,"clients":175,"employees":21,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":6139393000,"clients":175,"employees":20,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":5933762000,"clients":166,"employees":20,"offices":1}],"secFileNumber":"801-17534","legalName":"Richmond Capital Management Inc","displayName":"Richmond Capital Management","slug":"richmond-capital-management-104636","website":"https://richmondcap.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/104636/afbcae3f8ba403b1-r1.webp","tone":"dark","width":777,"height":200,"sourceUrl":"https://www.richmondcap.com","sourceLabel":"Richmond Capital Management INC, website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/richmond-capital-management-inc./","founded":null,"organization":"Virginia corporation","fiscalYearEnd":"December","headquarters":{"street":"1509a Belleville Street","city":"Richmond","state":"VA","stateName":"Virginia","country":"United States","postalCode":"23230"},"tradeNames":[],"registration":{"secApproved":"2 September 1982","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4544160,"staff":{"employees":20,"advisory":10,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":5933762000,"discretionary":5922455000,"discretionaryAccounts":161,"nonDiscretionary":11307000,"nonDiscretionaryAccounts":5,"wrapProgram":14702000,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":25,"regulatoryAum":113604000},{"label":"Pooled investment vehicles","clients":3,"regulatoryAum":1892838000},{"label":"Pension and profit-sharing plans","clients":28,"regulatoryAum":1280328000},{"label":"Charitable organizations","clients":33,"regulatoryAum":496950000},{"label":"State or municipal government entities","clients":32,"regulatoryAum":1291773000},{"label":"Insurance companies","clients":6,"regulatoryAum":86337000},{"label":"Corporations and other businesses","clients":39,"regulatoryAum":771932000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Truist Securities, Inc.","shortName":"Truist Securities","location":"Atlanta, GA","smaAssets":400213866},{"name":"Northern Trust Securities, Inc.","shortName":"Northern Trust Securities","location":"Chicago, IL","smaAssets":1190043899}],"custodyNote":"Richmond Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Howard Bos","title":"President","crd":"1390430"},{"name":"David Jackson","title":"Vice President","crd":"7615231"},{"name":"Lori Little","title":"Vice President","crd":"7585394"},{"name":"Stephen Rosa","title":"Vice President","crd":"7064274"},{"name":"Nicholas Sejnost","title":"Vice President","crd":"5793275"},{"name":"Geoffrey Sale","title":"Chief Compliance Officer","crd":"1927963"},{"name":"Tammie Burks","title":"Managing Director","crd":"7585382"},{"name":"Otto Glatt","title":"Managing Director","crd":"2694105"},{"name":"Elizabeth Harris","title":"Managing Director","crd":"2639456"},{"name":"Roy McDowell","title":"Managing Director","crd":"1761550"},{"name":"Patton Roark","title":"Managing Director","crd":"4664157"},{"name":"John Sides","title":"Managing Director","crd":"7128819"}],"ownership":[{"label":"Howard Bos","detail":"President in the 25% to 50% ownership band and a control person, since December 2012."},{"label":"Elizabeth Harris","detail":"Managing director in the 10% to 25% ownership band and a control person, since January 2002."},{"label":"Roy McDowell","detail":"Managing director in the 10% to 25% ownership band and a control person, since February 2007."},{"label":"Patton Roark","detail":"Managing director in the 25% to 50% ownership band and a control person, since February 2007."},{"label":"John Sides","detail":"Managing director in the 5% to 10% ownership band and a control person, since March 2022."},{"label":"David Jackson","detail":"Vice president in the 5% to 10% ownership band and a control person, since January 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Virginia","offices":1,"addresses":[{"street":"1509a Belleville Street","city":"Richmond","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"804-379-8280","stateRegisteredReps":8,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[{"label":"U.S. government/agency bonds","percent":62},{"label":"Investment grade corporate bonds","percent":33},{"label":"Derivatives","percent":2},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":2},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/104636/PDF/104636.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":"How many clients does Richmond Capital Management have?","answer":"Richmond Capital Management has 166 clients and manages $5.93 billion for them, as of March 2026. They include 39 corporations and other businesses, 33 charitable organizations, and 32 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Richmond Capital Management offer?","answer":"Richmond Capital Management provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Richmond Capital Management use?","answer":"Richmond Capital Management’s separately managed account assets are held at Northern Trust Securities, Inc. (Chicago, IL), with $1.19B and Truist Securities, Inc. (Atlanta, GA), with $400M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Richmond Capital Management have?","answer":"Richmond Capital Management has 8 investment adviser representatives registered with state securities authorities, out of 20 employees, and 10 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 Richmond Capital Management invest in?","answer":"At the end of its last fiscal year, Richmond Capital Management’s separately managed accounts held 62% U.S. government and agency bonds, 33% investment grade corporate bonds, 3% cash and equivalents and 2% derivatives. It advises 2 private funds.","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 Richmond Capital Management?","answer":"Richmond Capital Management’s direct owners are Howard Bos, Elizabeth Harris, Roy McDowell, Patton Roark, John Sides and David Jackson, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Richmond Capital Management get paid?","answer":"Richmond Capital Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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":"How do I contact Richmond Capital Management?","answer":"Richmond Capital Management’s main office is at 1509a Belleville Street, Richmond, VA 23230. Its phone number is 804-379-8280. Its website is richmondcap.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 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."}