Cary Street Partners Asset Management Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 289178
· SEC file 801-110994
· Richmond, VA
· carystreetpartners.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 1,836
- Avg AUM / client
- $789K
- Accounts
- 3,451
- Employees
- 49
AUM over time
$0
$1.5B
Jul 2017
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Investments (13F portfolio — 209 positions, $758,771,072)
13F period Sep 30, 2024| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Fairlead Tactical Sector Etf | ETF | $69,950,332 | 2,486,557 | 9.22% | 4.83% |
| 2 | Vanguard Value Etf | ETF | $35,640,687 | 204,163 | 4.7% | 2.46% |
| 3 | Neuberger Berman Option Strategy Etf | ETF | $29,500,679 | 1,119,473 | 3.89% | 2.04% |
| 4 | Spdr Portfolio S&P 500 Growth Etf | ETF | $26,484,948 | 319,327 | 3.49% | 1.83% |
| 5 | Tcw Flexible Income Etf | ETF | $23,436,882 | 588,718 | 3.09% | 1.62% |
| 6 | Vanguard Growth Etf | ETF | $20,872,162 | 54,364 | 2.75% | 1.44% |
| 7 | Jpmorgan Equity Premium Income Etf | ETF | $19,199,264 | 322,622 | 2.53% | 1.33% |
| 8 | Vanguard Russell 1000 Value Etf | ETF | $17,720,336 | 212,653 | 2.34% | 1.22% |
| 9 | Spdr Portfolio S&P 600 Small Cap Etf | ETF | $16,709,991 | 367,172 | 2.2% | 1.15% |
| 10 | Spdr Portfolio S&P 500 Etf | ETF | $16,246,362 | 240,651 | 2.14% | 1.12% |
| 11 | Pgim Portfolio Ballast Etf | ETF | $15,969,472 | 538,055 | 2.1% | 1.1% |
| 12 | Ishares Ultra Short Term Bond Active Etf | ETF | $13,014,651 | 256,497 | 1.72% | 0.9% |
| 13 | Vanguard Russell 1000 Growth Etf | ETF | $12,351,651 | 127,970 | 1.63% | 0.85% |
| 14 | Jpmorgan Nasdaq Equity Premium Inncome Etf | ETF | $12,301,160 | 223,942 | 1.62% | 0.85% |
| 15 | Vanguard Mid Cap Value Etf | ETF | $11,789,339 | 94,081 | 1.55% | 0.81% |
| 16 | Amplify Cwp Enhanced Dividend Income Etf | ETF | $11,128,905 | 270,185 | 1.47% | 0.77% |
| 17 | Spdr S&P 400 Mid Cap Growth Etf | ETF | $11,010,161 | 125,486 | 1.45% | 0.76% |
| 18 | Microsoft Corp Com | Stock | $10,845,101 | 25,204 | 1.43% | 0.75% |
| 19 | Spdr Portfolio Long Term Treasury Etf | ETF | $10,793,671 | 371,299 | 1.42% | 0.75% |
| 20 | Ishares Msci Eafe Value Etf | ETF | $9,372,511 | 162,915 | 1.24% | 0.65% |
| 21 | Jpmorgan Income Etf | ETF | $8,524,511 | 183,758 | 1.12% | 0.59% |
| 22 | Wisdom Tree Floating Rate Treasury Fund | ETF | $8,520,865 | 169,671 | 1.12% | 0.59% |
| 23 | Apple Inc Com | Stock | $8,430,945 | 36,184 | 1.11% | 0.58% |
| 24 | Lowes Cos Inc Com | Stock | $7,921,254 | 29,246 | 1.04% | 0.55% |
| 25 | Spdr Portfolio S&P 400 Mid Cap Etf | ETF | $7,569,735 | 138,437 | 1.0% | 0.52% |
Top 25 of 209 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,196 | $282M | 19.5% |
| High net worth individuals | 608 | $997M | 68.9% |
| Investment companies | 1 | $91.0M | 6.28% |
| Pension and profit sharing plans | 8 | $11.8M | 0.82% |
| Charitable organizations | 10 | $7.5M | 0.51% |
| State or municipal government entities | 0 | $0 | — |
| Insurance companies | 1 | $26.1M | 1.8% |
| Corporations and other businesses | 12 | $32.3M | 2.23% |
People (18)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Schmuckler, Joseph, Redmond | Board Manager | Jul 2015 (11y) | Less than 5% | |
| Chen, Hsueh Liang "Leon" | Board Manager; Chief Technology Officer (Cspf) | Oct 2016 (10y) | Less than 5% | |
| Kevin Lee Mitchell | Chief Financial Officer, Director | Jul 2017 (9y) | Less than 5% | |
| Douglas Guy Stewart | Board Manager | Aug 2017 (9y) | GP / trustee / elected manager of Cary Street Partners Financial Llc ("Cspf") (indirect) | |
| Walter Donald Bayne | Board Manager; President, Managing Director | Aug 2017 (9y) | Less than 5% | |
| Thomas Hogshead Tullidge | Board Manager | Oct 2017 (9y) | Less than 5% | |
| Slonecker, Derron, Scott | Board Manager | Aug 2019 (7y) | GP / trustee / elected manager of Cary Street Partners Financial Llc ("Cspf") (indirect) | |
| Wesley Hamilton Gallup | Board Manager; Chief Operating Officer (Cspf) | CFP | Feb 2021 (6y) | Less than 5% |
| Hazel, Richard, Marshall | Board Manager | Dec 2021 (5y) | GP / trustee / elected manager of Cary Street Partners Financial Llc ("Cspf") (indirect) | |
| Tedesco, Maria, Pia | Board Manager | Jun 2022 (4y) | GP / trustee / elected manager of Cary Street Partners Financial Llc ("Cspf") (indirect) | |
| Katherine Townshend Stockton | Board Manager | May 2023 (3y) | GP / trustee / elected manager of Cary Street Partners Financial Llc ("Cspf") (indirect) | |
| Matthew Lawrence Rubin | Chief Investment Officer (Cspf) | Jan 2024 (3y) | Less than 5% | |
| Oliver, Nancy, Riggleman | Chief Compliance Officer, Director | Sep 2024 (2y) | Less than 5% | |
| Theodore James Brown | Registered representative | Aug 2017 (9y) | ||
| Diane Lisa Sobin | Registered representative | CFA | Jul 2020 (6y) | |
| Alan Joel Reef | Registered representative | Feb 2021 (5y) | ||
| John Richard Farrell | Registered representative | CFA | Jun 2025 (1y) | |
| Marc L Davis | Registered representative | CFA | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Cary Street Partners Financial Llc ("Cspf") | Owner | May 2017 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.25 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Wells Fargo $888M (61% of AUM) Mar 2026
- Charles Schwab & Co. $369M (26% of AUM) Mar 2026
- U.S. Bancorp Investments, Inc. $53.2M (11% of AUM) Feb 2021
- Us Bancorp $48.8M (12% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗