DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Chase Investment Counsel Corporation
Latest filing Mar 25, 2026
First filing on the tape Dec 22, 2011 · 51 filings
SEC status approved since Mar 5, 1964
RAUM
$510M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
72%
$369M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$510M as of Mar 25, 2026
Mar 29, 2012$691M then
HNW client RAUM$351M as of Mar 25, 2026
Mar 29, 2018$150M then
State-registered IARs (5.B.3)5 as of Mar 25, 2026
Mar 28, 20137 then
Employees (5.A)7 as of Mar 25, 2026
Mar 28, 20139 then
Private funds: no history
RAUM +13% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $14.6M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$351M69%
- Investment companies$102M20%
- Charitable organizations$22.3M4.4%
- Individuals$17.5M3.4%
- Pension and profit-sharing plans$17.1M3.3%
- Individual clients
- 54reported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 137reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.6M for 2 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.72 fund_share=0.2 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Derwood Sumner Chase | Charlottesville, Va | Feb 23, 1988 | 62 y | 0 |
| Peter William TuzCertified Financial Planner, Chartered Financial Analyst | Charlottesville, Va | Sep 26, 1997 | 38 y | 0 |
| Stuart Furst Chase | Charlottesville, Va | Apr 25, 2006 | 39 y | 0 |
| Robert C Klintworth | Charlottesville, Va | Apr 21, 2011 | 22 y | 0 |
| Spencer Jones Garrett | Charlottesville, Va | Sep 20, 2023 | 10 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Edward S Painvin to Tembo WealthJul 21, 2014 · Other
- Colin Ducharme to Scott & Stringfellow, LLCAug 12, 2011 · Other
Joined, latest
- Spencer Jones Garrett from Longview Wealth ManagementSep 20, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sumner Derwood Chase · Founder & Chairman Emeritus, Director, Shareholdercontrolsince 01/2013 · owns 75% or more
- Furst Stuart Chase · Chairman Of The Board, Director, Shareholdercontrolsince 01/2013 · owns less than 5%
- Leigh Jennifer King · Chief Executive Officer, Corporate Secretary, Director, Chief Compliance Officer, Shareholdercontrolsince 01/2020 · owns less than 5%
- C Robert Klintworth · Senior Vice President, Portfolio Manager, Shareholdercontrolsince 01/2020 · owns less than 5%
- William Peter Tuz · President, Director, Portfolio Manager, Shareholdercontrolsince 04/2012 · owns 5% to 10%
- Luis Alvarez · Directorsince 05/2013 · owns less than 5%
- Thomas Edwin Burton · Director, Shareholdersince 01/2012 · owns less than 5%
- Sumner D Chase · Shareholdersince 01/1995 · owns less than 5%
- Jones Spencer Garrett · Junior Analyst / Assistant Portfolio Manager, Shareholdersince 09/2023 · owns less than 5%
- Thomas Craig Redinger · Directorsince 11/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlottesville, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 121 to 137Mar 28, 2025 to Mar 25, 2026
- BD registered reps · 1 to 0Mar 28, 2025 to Mar 25, 2026
- HNW clients · 70 to 76Mar 28, 2025 to Mar 25, 2026
- Individual clients · 45 to 54Mar 28, 2025 to Mar 25, 2026
- Assets in custody · $16.4M to $14.6MMar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $320M to $386MMar 28, 2025 to Mar 25, 2026
- HNW RAUM · $300M to $351MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $21.6M to $17.5MMar 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $133M to $124MMar 28, 2025 to Mar 25, 2026
- Pension RAUM · $18.4M to $17.1MMar 28, 2025 to Mar 25, 2026
- RAUM · $452M to $510MMar 28, 2025 to Mar 25, 2026
- Accounts · 110 to 121Jun 5, 2024 to Mar 28, 2025
- Charity clients · 3.0 to unsetJun 5, 2024 to Mar 28, 2025
- HNW clients · 62 to 70Jun 5, 2024 to Mar 28, 2025
- Individual clients · 42 to 45Jun 5, 2024 to Mar 28, 2025
- Pension plan clients · 1.0 to unsetJun 5, 2024 to Mar 28, 2025
- Assets in custody · $13.5M to $16.4MJun 5, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Jun 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $235M to $320MJun 5, 2024 to Mar 28, 2025
- HNW RAUM · $239M to $300MJun 5, 2024 to Mar 28, 2025
- Individual RAUM · $13.4M to $21.6MJun 5, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $120M to $133MJun 5, 2024 to Mar 28, 2025
- Pension RAUM · $15.2M to $18.4MJun 5, 2024 to Mar 28, 2025
- RAUM · $355M to $452MJun 5, 2024 to Mar 28, 2025
- Accounts · 85 to 110Dec 18, 2023 to Mar 26, 2024
- Advisory employees · 5 to 6Dec 18, 2023 to Mar 26, 2024
- Charity clients · 1 to 3Dec 18, 2023 to Mar 26, 2024
- HNW clients · 53 to 62Dec 18, 2023 to Mar 26, 2024
- Individual clients · 28 to 42Dec 18, 2023 to Mar 26, 2024
- Assets in custody · $12.7M to $13.5MDec 18, 2023 to Mar 26, 2024
- Employees · 6 to 7Dec 18, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 5Dec 18, 2023 to Mar 26, 2024
- Discretionary RAUM · $183M to $235MDec 18, 2023 to Mar 26, 2024
- HNW RAUM · $191M to $239MDec 18, 2023 to Mar 26, 2024
- Individual RAUM · $13.2M to $13.4MDec 18, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $112M to $120MDec 18, 2023 to Mar 26, 2024
- Pension RAUM · $14.0M to $15.2MDec 18, 2023 to Mar 26, 2024
- RAUM · $295M to $355MDec 18, 2023 to Mar 26, 2024
- Accounts · 77 to 85Mar 30, 2022 to Mar 27, 2023
- Advisory employees · 6 to 5Mar 30, 2022 to Mar 27, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 434-293-9194reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-861-7556reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 434-293-9104reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/CHASE_INVESTMENT_COUNSELreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CHASEINV.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 434-293-9104reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- chaseinv.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026