AB
Austin Brockenbrough Iii
BROCKENBROUGH
RICHMOND, VA 23226
Some features on this profile are disabled
CRD#: 1718558
AB
Professional summary
Austin Brockenbrough Iii, who also goes by Austin Brockenbrough III, Austin III Brockenbrough, is a registered financial advisor currently at BROCKENBROUGH located in Richmond, Virginia.
Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Austin has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Austin Brockenbrough Iii | Austin Iii Brockenbrough
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.BRYAN BROTHERS, INC. - 1802 BAYBERRY CT. RICHMOND VA. 23226; TAX AND FAMILY ACCOUNTING OFFICE NON- INVESTMENT RELATED AS A DIRECTOR AND CONTROLLING OWNER; ASSOCIATED SINCE 1985; APPROXIMATELY 2 HOURS PER MONTH DURING TRADING HOURS.
2. MARKEL FOOD GROUP - 2115 W. LABURNUM AVE, RICHMOND VA 23227; FOOD EQUIPMENT MANUFACTURER NON-INVESTMENT RELATED AS A DIRECTOR; ASSOCIATED SINCE 2000; APPROXIMATELY 2 HOURS A MONTH DURING TRADING HOURS.
3.GREEN TOP SPORTING GOODS - ASHLAND VA 23005; SPORTING GOODS RETAILER NON-INVESTMENT RELATED AS CHAIRMAN OF THE BOARD; ASSOCIATED SINCE 1985; APPROXIMATELY 36 HOURS A MONTH OF WHICH 26 ARE DURING TRADING HOURS.
4.TRUTH REELS, LLC. - BURGESS, VA 22432; FISHING REEL MANUFACTURER NON-INVESTMENT RELATED AS A PARTNER; ASSOCIATED SINCE 2011; APPROXIMATELY 15 HOURS A MONTH, OF WHICH 11 ARE DURING TRADING HOURS.
5.VIRGINIA S. REYNOLDS FOUNDATION - RICHMOND, VA ; TRUSTEE SINCE 2014; FOUNDATION NON-INVESTMENT RELATED; APPROXIMATELY 28 HOURS A MONTH, OF WHICH 20 ARE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Austin Brockenbrough Iii's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 24, 1979 - Present
BROCKENBROUGH
Office #1: 1802 Bayberry Ct, Richmond, VA 23226RIA
CRD#: 105142
RICHMOND, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
BROCKENBROUGH
BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C
CRD#: 105142 / SEC#: 801-6691
RIA
Registered Investment Advisory firm - (7/1/1970 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Virginia(8/7/1987)
Exams
Current Firm
BR
BROCKENBROUGH
BROCKENBROUGH | LOWE, BROCKENBROUGH & COMPANY, INC. | LOWE BROCKENBROUGH & CO INC | LB&C
CRD#: 105142 / SEC#: 801-6691
RIA
Registered Investment Advisory firm - (7/1/1970 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
920 Libbie Ave. Suite 201, Richmond, VA 23226-2050
Mailing Address
Phone number
(804) 288-0404
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,162 |
| AUM (Assets Under Management) | $ 5,442,429,889 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 11/12/2024 | ||
| 10/26/2023 | ||
| 11/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROCKENBROUGH
CRD#: 105142Richmond, VA 23226TRUST BUT VERIFY
Monitor Austin Brockenbrough Iii
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
