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InvestorTrustHub · Virginia

Virginia Investment Adviser & Securities Intelligence

Virginia SCC Division of Securities and Retail Franchising regulates broker-dealers, agents, investment advisers, and investment adviser representatives, subject to statutory exemptions. This page organizes separate research lenses from accepted IAPD compilations and official SCC publications. It does not rank advisers, score firms, or publish a Trust Score. A Virginia principal office is not Virginia state registration. Virginia registration is not SEC registration. Firm is not individual.

We organize the evidence. You decide.

Research VA-headquartered SEC/IARD firmsVerify on IAPD

State of the record

Universe · Current · State ERA · Notice · Activity · As-of

339

Universe

SEC/IARD roster firms with a Virginia principal office. Not the state-RIA roster.

Trace this number

Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = VA

Calculation. COUNT of roster firms with principal-office region VA = 339.

Caveat. This is the national SEC/IARD roster overlay for firms that report a Virginia principal office on the reconciled 23,622-firm geography table (VA = 339). It is not the Virginia state-registered adviser universe, not a federal-covered notice-filing count, and not proof of current Virginia SCC authority. VIRGINIA PRINCIPAL OFFICE != VIRGINIA STATE REGISTRATION. These 339 firms already exist in the federal graph and are not net-new organizations. A raw compilation MainAddr=@State=VA count is a different extract and is not this overlay.

697

Current

Virginia state-registered investment-adviser firms (IAPD state compilation, APPROVED).

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Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_08_27_2026.xml.gz

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = VA

Calculation. 700 Virginia StateRgstn rows; 700 distinct firm CRDs; 697 APPROVED; 3 TERMREQUEST. Filter is Rgltr/@Cd=VA, not address.

Caveat. IAPD state compilation firms with Virginia as the registration jurisdiction and status APPROVED. This is not an SEC RIA count, not a federal-covered notice-filing count, not an ERA count, and not the 339 principal-office overlay. Duplicate/multi-jurisdiction rows were collapsed to distinct firm CRD. State-only CRDs were not minted as public SEC firm profiles and were not added to the 23,622 SEC/IARD roster.

107

State ERA

Virginia state ERA reporting firms. ERA is not an RIA.

Trace this number

Source. IA_FIRM_STATE_Feed_08_27_2026

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. Virginia state ERA reporting firm; ERA/Rgltr/@Cd=VA; distinct firm CRD

Calculation. 107 registration rows; 107 distinct firm CRDs; 107 ACTIVE; overlap with Virginia state IA = 0.

Caveat. State ERA reporting is not a Virginia state RIA and is not an SEC RIA. Overlap with state IA is zero in this extract.

3,289

Notice

SEC/IARD firms with a Virginia notice filing. Not state-RIA licensure.

Trace this number

Source. IA_FIRM_SEC_Feed_08_27_2026

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=VA and status FILED

Calculation. 3289 notice rows; 3289 distinct CRDs with status FILED. Overlap with approved state IA = 4.

Caveat. Federal-covered / notice-filed is not Virginia state-RIA licensure. Notice-filed is not the 339 principal-office overlay. A Virginia principal office does not prove a current notice filing.

69

2025 audits

SCC investment adviser audits completed in 2025. Activity, not discipline.

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Source. https://www.scc.virginia.gov/media/sccvirginiagov-home/about-the-scc/annual-reports/2025srf.pdf

Source date. 2025

Coverage. SCC SRF annual report

Grain. 2025 activity process count

Calculation. 69 investment adviser audits completed; 439 audit violation deficiencies resolved.

Caveat. These are 2025 process/activity counts. Do not transform 4,481 investment adviser registrations, renewals, and amendments approved into a current firm universe. Audit is not discipline. Complaint is not a violation. Investigation is not a finding.

2026-08-27

As-of

IAPD compilations IA_FIRM_SEC_Feed_08_27_2026. SCC 2025 report year is 2025, not current 2026 status.

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Source. Committed VA-INV-001 public snapshot

Source date. 2026-09-10

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint b5f82ff25157a614…

Caveat. Numbers on this page must match the generated snapshot. Retrieval time is not sourceAsOf. 2025 activity counts are not 2026 current registrations.

Current verification paths

Current firm status comes from accepted IAPD/SEC data or official current SCC/IARD verification. SCC Examination/Registration Search is OPEN_SEARCH_ONLY — it was not enumerated. Search-only is not zero.

2025 SCC regulatory activity aggregates

These are 2025 process/activity counts. Do not transform 4,481 investment adviser registrations, renewals, and amendments approved into a current firm universe. Audit is not discipline. Complaint is not a violation. Investigation is not a finding.

  • 1,859 broker-dealer registrations and renewals approved
  • 308,131 broker-dealer agent registrations and renewals approved
  • 4,481 investment adviser registrations, renewals, and amendments approved — not 4,481 firms
  • 18,946 investment adviser representative registrations and renewals approved — not unique people
  • 24 investment advisor eras approved

SCC Securities & Retail Franchising regulatory activity

This is a mixed SCC Securities & Retail Franchising activity table (investment advisers, broker-dealers, individuals, issuers, franchises, and other respondents). Do not call every row investment-adviser enforcement. The table does not expose CRD/SEC IDs. Name-only attachment is unsafe. Case != criminal conviction. Action count is not quality. No action found is not a clean record.

146 observation rows · 113 distinct case numbers · dates 2022-01-06 to 2026-06-22. Exact CRD crosswalks: 0. PDFs opened: 0. Name-only is unsafe.

Complaint / investigation aggregates

2025 complaint/investigation categories are aggregates. Complaint is not a violation. Investigation is not a finding. Referred is not guilt. No-violation in that category is not a perfect regulatory history. Do not answer firm-specific complaint questions with these totals.

  • 85 complaints resulting in investigations
  • 65 complaints referred
  • 17 complaints with no authority to investigate
  • 2 complaints with no violation of Securities or Franchise Acts
  • 68 investigations completed

What this page does not mean

  • 107 Virginia state ERA reporting firms are a separate source-defined class from the 697 approved Virginia state-registered IA firms. ERA is not an RIA.
  • It does not say Virginia has one investment-adviser total.
  • 4,481 2025 approvals/renewals/amendments are not current firms.
  • IAR registration/renewal activity is person grain, not firms.
  • RAUM is not performance. Complaint is not a violation. Audit is not discipline.
  • Search-only is not zero. No Trust Score. No ranking.