Holderness Investments Co
- Regulatory AUM
- $661M
- Discretionary
- $642M
- Clients
- 339
- Avg AUM / client
- $1.9M
- Accounts
- 778
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 231 | $115M | 17.4% |
| High net worth individuals | 93 | $498M | 75.4% |
| Pension and profit sharing plans | 10 | $18.1M | 2.74% |
| Charitable organizations | Fewer than 5 clients | $19.4M | 2.94% |
| Corporations and other businesses | 5 | $9.9M | 1.5% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Richard Thurston Holderness | President | CFA | Aug 1995 (31y) | 75% or more |
| Kim Cummings Eder | Vice President/Chief Compliance Officer | CFA | Dec 2001 (25y) | 25% – 50% |
| Kenneth Joseph Shahbaz | Registered representative | CFP Personal Financial Specialist | Jan 2017 (10y) | |
| Sheila May Falls | Registered representative | CFP Personal Financial Specialist | Nov 2017 (9y) | |
| Jonathan Michael Morgan | Registered representative | CFA | Feb 2024 (2y) | |
| Ryan Michael Vaudrin | Registered representative | CFP | Aug 2024 (2y) |
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) | 03/30/2026 | 1.06 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $661M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 30, 2026.
View current Form ADV (SEC/IAPD) ↗