# EDGAR Filing Document

**Accession Number:** 0000887777
**File Stem:** 0000887777-26-000005
**Filing Date:** 2026-2
**Character Count:** 37882
**Document Hash:** 2bf02af2f6c1603418801bd3f59cc073
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000887777-26-000005.hdr.sgml**: 20260306

**ACCESSION NUMBER**: 0000887777-26-000005

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260220

**DATE AS OF CHANGE**: 20260306

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** DAVENPORT & Co LLC
- **CENTRAL INDEX KEY:** 0000887777

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00424
- **FILM NUMBER:** 26729318

**BUSINESS ADDRESS:**
- **STREET 1:** ONE JAMES CENTER
- **STREET 2:** 901 E CARY STREET STE 1100
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23219
- **BUSINESS PHONE:** 8047802000

**MAIL ADDRESS:**
- **STREET 1:** P O BOX 85678
- **CITY:** RICHMOND
- **STATE:** VA
- **ZIP:** 23285-5678

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DAVENPORT & CO LLC
- **DATE OF NAME CHANGE:** 20010307

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DAVENPORT & CO OF VIRGINIA INC
- **DATE OF NAME CHANGE:** 20010213

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000887777

**Filer CCC:** XXXXXXXX

**Contact Name:** ANNIE COLE

**Contact Phone:** 804-697-2945

**Contact Email:** ACOLE@INVESTDAVENPORT.COM

**Notification Emails:** eterzimehic@investdavenport.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** DAVENPORT & Co LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 1588

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 54-1835842

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00106-00

- **Municipal Advisor:** SEC File No: 867-00424

- **Broker-Dealer:** SEC File No: 008-17103, CRD No: 1588

- **SEC-Registered Investment Adviser:** SEC File No: 801-13057, CRD No: 1588

- **Other:** Description: ALL 50 UNITED STATES, THE DISTRICT OF COLUMBIA, PUERTO RICO AND THE US VIRGIN ISLANDS

**Additional Registrations:**

- **NFA:** 0001622

- **FINRA:** 1588

- **MSRB:** A0364

- **DAVENPORT & COMPANY LLC:** 801-13057

**E. Principal Office and Place of Business:** 901 E CARY STREET STE 1100, RICHMOND, VA, 23219

**Telephone Number:** 8047802000

**Additional Offices of Employment:**

- **Office #1 (Add):** 8600 LASALLE ROAD SUITE 618, TOWSON, MD, 21286 | Phone: 410-296-9426

- **Office #2 (Add):** 101 N TRYON STREET SUITE 1220, CHARLOTTE, NC, 28246-0100 | Phone: 704-644-5412

- **Office #3 (Add):** 515 EAST CROSSVILLE ROAD, 380, ROSWELL, GA, 30075 | Phone: 8046972919

- **Office #4 (Add):** 2323 West 5th Avenue, Suite 120, Columbus, OH, 43204 | Phone: 8047802196

**Mailing Address is Different from Principal Office:** Yes

**Mailing Address:** P O BOX 85678, RICHMOND, VA, 23285-5678

**F. Website:** www.investDavenport.com

**G. Chief Compliance Officer (CCO):**

**Name:** STRATTON A JONATHAN

**Titles:** CCO, SVP

**Address:** 901 E CARY STREET SUITE 1100, RICHMOND, VA, 23219

**Phone Number:** 804-780-2000

**Email:** JSTRATTON@INVESTDAVENPORT.COM

**H. Business Affiliates:**

- **Name:** DAVENPORT FINANCIAL ADVISORS

  - **Issuing Agency:** SCC

  - **Jurisdiction:** VA

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** VA

**D. Date of Organization:** 01-31-1997

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 250

**B. Municipal Advisory Activities - Employees:** 25

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 20

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 6

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 1

**F. Types of Clients - Number of clients served as municipal advisor:** 250

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 225

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 25

**&nbsp;&nbsp;&nbsp;Total Solicited:** 250

**H. Types of Persons Solicited:** 
Colleges
Other
, Colleges, Other

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
Other
, Hourly Charges, Fixed Fees, Contingent Fees, Other

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Insurance:** Actively Engaged: Yes, Primary Business: —

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships

**Total Associated Persons:** 1

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** Yes

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** Yes

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** Yes

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** Yes

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                               | Title/Status                           | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| DAVA CORP                          | MEMBER                                 | 03-01-2001      | C - 25% but less than 50% | Yes               |  |  |
| DAVENPORT & CO. OF VIRGINIA, INC   | MEMBER                                 | 03-01-1997      | C - 25% but less than 50% | Yes               |  |  |
| DAVENPORT CORP.                    | MEMBER                                 | 03-01-1997      | C - 25% but less than 50% | Yes               |  |  |
| DAVENPORT IV, INC                  | MEMBER                                 | 05-01-2016      | B - 10% but less than 25% | No                |  |  |
| DAVENPORT FIVE, INC                | MEMBER                                 | 02-21-2024      | NA - less than 5%         | No                |  |  |
| John Paul Ackerly                  | SVP, Director                          | 03-01-2004      | NA - less than 5%         | Yes               |  | 2460550      |
| Sean James Allburn                 | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 2605269      |
| David Charles Anderson             | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 2312279      |
| Hylah Boyd Ballowe                 | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 2533434      |
| William Randolph Barksdale         | SVP, Director                          | 03-01-2004      | NA - less than 5%         | No                |  | 720050       |
| Kevin George Boll                  | SVP, Director                          | 03-01-2010      | NA - less than 5%         | No                |  | 2881689      |
| Edward Trigg Brown                 | EVP, Director                          | 12-01-1990      | NA - less than 5%         | Yes               |  | 850295       |
| Irving Lee Chapman                 | President, CEO, COO, Director          | 03-01-2013      | NA - less than 5%         | Yes               |  | 2489697      |
| Edward Fiscus Cole                 | SVP, Director                          | 03-01-2011      | NA - less than 5%         | No                |  | 4146443      |
| James Edward Crawley               | SVP, Director                          | 03-01-2006      | NA - less than 5%         | No                |  | 1776949      |
| Richard Edward Dolan               | SVP, Director                          | 03-01-2004      | NA - less than 5%         | No                |  | 2348347      |
| Maureen Ann Gallihugh              | SVP, Director                          | 03-01-2014      | NA - less than 5%         | Yes               |  | 1125521      |
| Harrison Moncure Geho              | SVP, Director                          | 03-01-2013      | NA - less than 5%         | No                |  | 2361637      |
| Kenneth Stuart Gregory             | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 1160002      |
| William Robertson Beverley Hershey | SVP, Director                          | 03-01-2011      | NA - less than 5%         | Yes               |  | 2909345      |
| Lucy Williams Hooper               | EVP, Director                          | 03-01-2002      | NA - less than 5%         | Yes               |  | 733228       |
| Robert Francis Mizell              | EVP, CFO, Director                     | 12-01-1990      | NA - less than 5%         | Yes               |  | 1836694      |
| Joseph Walter Pauke                | SVP, Director                          | 03-01-2010      | NA - less than 5%         | No                |  | 1208500      |
| Ann Minornuckols Richmond          | SVP, Director, Treasurer               | 01-01-1996      | NA - less than 5%         | No                |  | 2144754      |
| Courtney Edward Rogers             | SVP, Director                          | 03-01-2006      | NA - less than 5%         | No                |  | 2237168      |
| David Peter Rose                   | SVP, Director                          | 03-01-2001      | NA - less than 5%         | No                |  | 1288846      |
| George Levin Smith                 | SVP, Director                          | 03-01-2010      | NA - less than 5%         | No                |  | 2988110      |
| Timothy Stewart Taylor             | SVP, Director                          | 03-01-2006      | NA - less than 5%         | No                |  | 1492229      |
| Edin Nmn Terzimehic                | SVP, ROSFP                             | 12-01-2008      | NA - less than 5%         | No                |  | 4634023      |
| Eugene Massie Valentine            | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 1072110      |
| Henry Lee Valentine                | SVp, Director                          | 12-01-1992      | NA - less than 5%         | No                |  | 1137054      |
| John Garth Vine                    | SVp, Director                          | 03-01-2012      | NA - less than 5%         | No                |  | 1147747      |
| Bradley Lawrence Watson            | SVP, Director                          | 03-01-2014      | NA - less than 5%         | No                |  | 2415210      |
| Coleman III Wortham                | Chairman, Director                     | 03-01-2013      | A - 5% but less than 10%  | Yes               |  | 472921       |
| JOHN ROBERT GANSMAN                | MANAGING DIRECTOR                      | 04-04-2016      | NA - less than 5%         | No                |  | 2382152      |
| GRAYSON BISHOP PRILLAMAN           | MANAGING DIRECTOR                      | 04-04-2016      | NA - less than 5%         | No                |  | 2707727      |
| JAMES EDWARD SANDERSON             | SVP, DIRECTOR                          | 04-04-2016      | NA - less than 5%         | No                |  | 4886781      |
| ARIC NORMAN WAGNER                 | MANAGING DIRECTOR                      | 03-29-2017      | NA - less than 5%         | No                |  | 2267313      |
| THOMAS WINSTON PRICE               | SVP, DIRECTOR                          | 04-01-2018      | NA - less than 5%         | No                |  | 2895319      |
| GEOFFREY ADAM SULANKE              | SVP, DIRECTOR                          | 04-01-2018      | NA - less than 5%         | No                |  | 4808910      |
| BRIAN MITCHELL BRIGULIO            | SVP, DIRECTOR                          | 03-27-2019      | NA - less than 5%         | No                |  | 4970410      |
| KYLE A LAUX                        | SVP, DIRECTOR                          | 03-27-2019      | NA - less than 5%         | No                |  | 4550086      |
| TAMMY RENE SEVERT                  | SVP, DIRECTOR                          | 03-27-2019      | NA - less than 5%         | No                |  | 3020053      |
| FRANKLIN ALEXANDER TRICE           | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 2219809      |
| ROLAND MARION KOOCH JR             | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 2382419      |
| JON TAYLOR MCELHANEY               | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | Yes               |  | 2883725      |
| THOMAS RAMEY MCDONALD              | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 5571688      |
| JEFFREY FLOYD OMOHUNDRO            | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 2155707      |
| RICHARD GAILLARD OWEN              | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 1197506      |
| CHRISTOPHER GLENN PEARSON          | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | Yes               |  | 4979730      |
| TEN EYCK THOMPSON WELLFORD JR      | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 4985143      |
| HOLLY RAY CROCKETT                 | DIRECTOR                               | 06-10-2021      | NA - less than 5%         | No                |  | 1682414      |
| SHANE M CASON                      | DIRECTOR                               | 03-30-2022      | NA - less than 5%         | No                |  | 4500533      |
| DAVID GOATER DUNWODY               | DIRECTOR                               | 03-30-2022      | NA - less than 5%         | No                |  | 6064452      |
| FREDERICK GORDON FRAM              | CAO AND AML OFFICER                    | 03-31-2023      | NA - less than 5%         | Yes               |  | 1701062      |
| VIRGINIA WORTHAM KEHLENBECK        | DIRECTOR                               | 03-31-2023      | NA - less than 5%         | No                |  | 4555885      |
| JOHN ANTHONY PISCITELLI            | DIRECTOR                               | 03-31-2023      | NA - less than 5%         | No                |  | 1359023      |
| ARMISTEAD CHURCHILL YOUNG          | DIRECTOR                               | 03-31-2023      | NA - less than 5%         | No                |  | 2444107      |
| JONATHAN AUBREY STRATTON           | CHIEF COMPLIANCE OFFICER -BROKE DEALER | 04-01-2024      | NA - less than 5%         | No                |  | 4808131      |
| LEAVENWORTH MCGILL FERRELL         | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 4578007      |
| ROBERT A GRAGNANI                  | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 5098764      |
| JOSEPH ANTHONY LOMBARD III         | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 4013073      |
| NATHANIEL H RULLMAN                | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 5897465      |
| WILLIAM D CAPSHAW                  | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 5725314      |
| STEVEN RUSSELL FREEMAN             | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 1574425      |
| DAVID JOSEPH POSNER                | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 6134514      |
| JEFFREY DAVID POTTER               | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 6314134      |
| PETER LAWRENCE REUSS               | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 2681772      |
| ROBERT H WISE                      | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 4251283      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                               | Title/Status                           | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | DAVA CORP                          | MEMBER                                 | 03-01-2001      | C - 25% but less than 50% | Yes               |  |  |
|  | Direct      |  | DAVENPORT & CO. OF VIRGINIA, INC   | MEMBER                                 | 03-01-1997      | C - 25% but less than 50% | Yes               |  |  |
|  | Direct      |  | DAVENPORT CORP.                    | MEMBER                                 | 03-01-1997      | C - 25% but less than 50% | Yes               |  |  |
|  | Direct      |  | DAVENPORT IV, INC                  | MEMBER                                 | 05-01-2016      | B - 10% but less than 25% | No                |  |  |
|  | Direct      |  | DAVENPORT FIVE, INC                | MEMBER                                 | 02-21-2024      | NA - less than 5%         | No                |  |  |
|  | Direct      |  | John Paul Ackerly                  | SVP, Director                          | 03-01-2004      | NA - less than 5%         | Yes               |  | 2460550      |
|  | Direct      |  | Sean James Allburn                 | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 2605269      |
|  | Direct      |  | David Charles Anderson             | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 2312279      |
|  | Direct      |  | Hylah Boyd Ballowe                 | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 2533434      |
|  | Direct      |  | William Randolph Barksdale         | SVP, Director                          | 03-01-2004      | NA - less than 5%         | No                |  | 720050       |
|  | Direct      |  | Kevin George Boll                  | SVP, Director                          | 03-01-2010      | NA - less than 5%         | No                |  | 2881689      |
|  | Direct      |  | Edward Trigg Brown                 | EVP, Director                          | 12-01-1990      | NA - less than 5%         | Yes               |  | 850295       |
|  | Direct      |  | Irving Lee Chapman                 | President, CEO, COO, Director          | 03-01-2013      | NA - less than 5%         | Yes               |  | 2489697      |
|  | Direct      |  | Edward Fiscus Cole                 | SVP, Director                          | 03-01-2011      | NA - less than 5%         | No                |  | 4146443      |
|  | Direct      |  | James Edward Crawley               | SVP, Director                          | 03-01-2006      | NA - less than 5%         | No                |  | 1776949      |
|  | Direct      |  | Richard Edward Dolan               | SVP, Director                          | 03-01-2004      | NA - less than 5%         | No                |  | 2348347      |
|  | Direct      |  | Maureen Ann Gallihugh              | SVP, Director                          | 03-01-2014      | NA - less than 5%         | Yes               |  | 1125521      |
|  | Direct      |  | Harrison Moncure Geho              | SVP, Director                          | 03-01-2013      | NA - less than 5%         | No                |  | 2361637      |
|  | Direct      |  | Kenneth Stuart Gregory             | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 1160002      |
|  | Direct      |  | William Robertson Beverley Hershey | SVP, Director                          | 03-01-2011      | NA - less than 5%         | Yes               |  | 2909345      |
|  | Direct      |  | Lucy Williams Hooper               | EVP, Director                          | 03-01-2002      | NA - less than 5%         | Yes               |  | 733228       |
|  | Direct      |  | Robert Francis Mizell              | EVP, CFO, Director                     | 12-01-1990      | NA - less than 5%         | Yes               |  | 1836694      |
|  | Direct      |  | Joseph Walter Pauke                | SVP, Director                          | 03-01-2010      | NA - less than 5%         | No                |  | 1208500      |
|  | Direct      |  | Ann Minornuckols Richmond          | SVP, Director, Treasurer               | 01-01-1996      | NA - less than 5%         | No                |  | 2144754      |
|  | Direct      |  | Courtney Edward Rogers             | SVP, Director                          | 03-01-2006      | NA - less than 5%         | No                |  | 2237168      |
|  | Direct      |  | David Peter Rose                   | SVP, Director                          | 03-01-2001      | NA - less than 5%         | No                |  | 1288846      |
|  | Direct      |  | George Levin Smith                 | SVP, Director                          | 03-01-2010      | NA - less than 5%         | No                |  | 2988110      |
|  | Direct      |  | Timothy Stewart Taylor             | SVP, Director                          | 03-01-2006      | NA - less than 5%         | No                |  | 1492229      |
|  | Direct      |  | Edin Nmn Terzimehic                | SVP, ROSFP                             | 12-01-2008      | NA - less than 5%         | No                |  | 4634023      |
|  | Direct      |  | Eugene Massie Valentine            | SVP, Director                          | 03-01-2007      | NA - less than 5%         | No                |  | 1072110      |
|  | Direct      |  | Henry Lee Valentine                | SVp, Director                          | 12-01-1992      | NA - less than 5%         | No                |  | 1137054      |
|  | Direct      |  | John Garth Vine                    | SVp, Director                          | 03-01-2012      | NA - less than 5%         | No                |  | 1147747      |
|  | Direct      |  | Bradley Lawrence Watson            | SVP, Director                          | 03-01-2014      | NA - less than 5%         | No                |  | 2415210      |
|  | Direct      |  | Coleman III Wortham                | Chairman, Director                     | 03-01-2013      | A - 5% but less than 10%  | Yes               |  | 472921       |
|  | Direct      |  | JOHN ROBERT GANSMAN                | MANAGING DIRECTOR                      | 04-04-2016      | NA - less than 5%         | No                |  | 2382152      |
|  | Direct      |  | GRAYSON BISHOP PRILLAMAN           | MANAGING DIRECTOR                      | 04-04-2016      | NA - less than 5%         | No                |  | 2707727      |
|  | Direct      |  | JAMES EDWARD SANDERSON             | SVP, DIRECTOR                          | 04-04-2016      | NA - less than 5%         | No                |  | 4886781      |
|  | Direct      |  | ARIC NORMAN WAGNER                 | MANAGING DIRECTOR                      | 03-29-2017      | NA - less than 5%         | No                |  | 2267313      |
|  | Direct      |  | THOMAS WINSTON PRICE               | SVP, DIRECTOR                          | 04-01-2018      | NA - less than 5%         | No                |  | 2895319      |
|  | Direct      |  | GEOFFREY ADAM SULANKE              | SVP, DIRECTOR                          | 04-01-2018      | NA - less than 5%         | No                |  | 4808910      |
|  | Direct      |  | BRIAN MITCHELL BRIGULIO            | SVP, DIRECTOR                          | 03-27-2019      | NA - less than 5%         | No                |  | 4970410      |
|  | Direct      |  | KYLE A LAUX                        | SVP, DIRECTOR                          | 03-27-2019      | NA - less than 5%         | No                |  | 4550086      |
|  | Direct      |  | TAMMY RENE SEVERT                  | SVP, DIRECTOR                          | 03-27-2019      | NA - less than 5%         | No                |  | 3020053      |
| Delete | Direct      |  | FRANKLIN ALEXANDER TRICE           | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 2219809      |
|  | Direct      |  | ROLAND MARION KOOCH JR             | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 2382419      |
|  | Direct      |  | JON TAYLOR MCELHANEY               | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | Yes               |  | 2883725      |
|  | Direct      |  | THOMAS RAMEY MCDONALD              | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 5571688      |
|  | Direct      |  | JEFFREY FLOYD OMOHUNDRO            | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 2155707      |
|  | Direct      |  | RICHARD GAILLARD OWEN              | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 1197506      |
|  | Direct      |  | CHRISTOPHER GLENN PEARSON          | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | Yes               |  | 4979730      |
|  | Direct      |  | TEN EYCK THOMPSON WELLFORD JR      | DIRECTOR                               | 03-25-2020      | NA - less than 5%         | No                |  | 4985143      |
|  | Direct      |  | HOLLY RAY CROCKETT                 | DIRECTOR                               | 06-10-2021      | NA - less than 5%         | No                |  | 1682414      |
|  | Direct      |  | SHANE M CASON                      | DIRECTOR                               | 03-30-2022      | NA - less than 5%         | No                |  | 4500533      |
|  | Direct      |  | DAVID GOATER DUNWODY               | DIRECTOR                               | 03-30-2022      | NA - less than 5%         | No                |  | 6064452      |
|  | Direct      |  | FREDERICK GORDON FRAM              | CAO AND AML OFFICER                    | 03-31-2023      | NA - less than 5%         | Yes               |  | 1701062      |
|  | Direct      |  | VIRGINIA WORTHAM KEHLENBECK        | DIRECTOR                               | 03-31-2023      | NA - less than 5%         | No                |  | 4555885      |
|  | Direct      |  | JOHN ANTHONY PISCITELLI            | DIRECTOR                               | 03-31-2023      | NA - less than 5%         | No                |  | 1359023      |
|  | Direct      |  | ARMISTEAD CHURCHILL YOUNG          | DIRECTOR                               | 03-31-2023      | NA - less than 5%         | No                |  | 2444107      |
|  | Direct      |  | JONATHAN AUBREY STRATTON           | CHIEF COMPLIANCE OFFICER -BROKE DEALER | 04-01-2024      | NA - less than 5%         | No                |  | 4808131      |
|  | Direct      |  | LEAVENWORTH MCGILL FERRELL         | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 4578007      |
|  | Direct      |  | ROBERT A GRAGNANI                  | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 5098764      |
|  | Direct      |  | JOSEPH ANTHONY LOMBARD III         | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 4013073      |
|  | Direct      |  | NATHANIEL H RULLMAN                | DIRECTOR                               | 04-01-2024      | NA - less than 5%         | No                |  | 5897465      |
|  | Direct      |  | WILLIAM D CAPSHAW                  | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 5725314      |
|  | Direct      |  | STEVEN RUSSELL FREEMAN             | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 1574425      |
|  | Direct      |  | DAVID JOSEPH POSNER                | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 6134514      |
|  | Direct      |  | JEFFREY DAVID POTTER               | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 6314134      |
|  | Direct      |  | PETER LAWRENCE REUSS               | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 2681772      |
|  | Direct      |  | ROBERT H WISE                      | DIRECTOR                               | 03-26-2025      | NA - less than 5%         | No                |  | 4251283      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98793

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98791

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98794

  - **Associated Person:** HENRY LEE VALENTINE

  - **CRD Number:** 452245

  - **Filed On (AP):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

  - **Disclosure Number:** 98794

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98795

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98796

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98797

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98799

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 98800

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 150187

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 164029

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 1166466

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 1201251

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 1572958

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

  - **Associated Person:** HARRISON MONCURE GEHO

  - **CRD Number:** 2361637

  - **Filed On (AP):** Form ADV/BD/U4 for HARRISON MONCURE GEHO

  - **Disclosure Number:** 677788

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 1786809

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 1907645

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for DAVENPORT & COMPANY LLC

- **CRD Number:** 1588

- **Disclosure Number:** 1963752

### Execution Page

**Signature:** ANNIE COLE

**Signer Name:** ANNIE COLE

**Title:** COMPLIANCE OFFICER

**Date:** 02-20-2026