DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••••• W••••• M••••••••• I•••

Independent wealth managerDunkirk, MarylandCRD 115639SEC 801-118382website IAPD

Latest filing Mar 16, 2026

First filing on the tape Mar 22, 2012 · 26 filings

SEC status approved since Apr 7, 2020

RAUM

$190M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$190M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$63.2M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$190M as of Mar 16, 2026

Mar 22, 2012$98.6M then

HNW client RAUM$21.1M as of Mar 16, 2026

Mar 24, 2021$44.0M then

State-registered IARs (5.B.3)3 as of Mar 16, 2026

Mar 22, 20120 then

Employees (5.A)4 as of Mar 16, 2026

Mar 1, 20133 then

Private funds: no history

RAUM +13% over the last fiscal year+14% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Mar 16, 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
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $63.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 120derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $377,442derivedHNW RAUM over HNW clients
Average account: $250,754derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.5derived2 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: +0.3%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Custody: $19.3M, 66 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$168M89%
High-net-worth individuals$21.1M11%

Individual clients: 304reported
HNW clients: 56reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 756reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: $19.3M for 66 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
N••••••• T••••• B•••	Dunkirk, Md	Nov 8, 2018	13 y	0
J••• T••••• S••••	Dunkirk, Md	May 31, 2023	18 y	1
K•••• C•••••• S••••••	Dunkirk, Md	Jan 1, 2025	14 y	0

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

M•••••• A••• C•• to C••••••••• F•••••••• N••••••
Aug 27, 2014 · Other

Joined, latest

J••• T••••• S•••• from L•• F•••••••• L••
May 31, 2023 · Other
M•••••• A••• C•• from L•• F•••••••• L••
Jan 22, 2009 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••• K••••• C•••••• · Co-President, Chief Compliance Officercontrol
since 01/2020 · owns 50% to 75%
S••••• J•••• T••••• · Co-Presidentcontrol
since 01/2020 · owns 50% to 75%

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
Dunkirk, Md · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

Annapolis, MD1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Mar 16, 2026
HNW share of RAUM moved from 62.0% to 11.0% between the annual amendments of 2025-03-19 and 2026-03-16
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 766 to 756
Dec 1, 2025 to Mar 16, 2026
HNW clients · 51 to 56
Dec 1, 2025 to Mar 16, 2026
Individual clients · 308 to 304
Dec 1, 2025 to Mar 16, 2026
Assets in custody · $38.5M to $19.3M
Dec 1, 2025 to Mar 16, 2026
Financial planning clients · 26-50 to 11-25
Dec 1, 2025 to Mar 16, 2026
Discretionary RAUM · $168M to $190M
Dec 1, 2025 to Mar 16, 2026
HNW RAUM · $103M to $21.1M
Dec 1, 2025 to Mar 16, 2026
Individual RAUM · $64.1M to $168M
Dec 1, 2025 to Mar 16, 2026
RAUM · $168M to $190M
Dec 1, 2025 to Mar 16, 2026
Accounts · 699 to 766
Dec 2, 2024 to Mar 19, 2025
HNW clients · 45 to 51
Dec 2, 2024 to Mar 19, 2025
Individual clients · 285 to 308
Dec 2, 2024 to Mar 19, 2025
Assets in custody · $33.0M to $38.5M
Dec 2, 2024 to Mar 19, 2025
Financial planning clients · 11-25 to 26-50
Dec 2, 2024 to Mar 19, 2025
Discretionary RAUM · $138M to $168M
Dec 2, 2024 to Mar 19, 2025
HNW RAUM · $75.8M to $103M
Dec 2, 2024 to Mar 19, 2025
Individual RAUM · $62.4M to $64.1M
Dec 2, 2024 to Mar 19, 2025
RAUM · $138M to $168M
Dec 2, 2024 to Mar 19, 2025
Accounts · 713 to 699
Oct 30, 2023 to Mar 25, 2024
HNW clients · 44 to 45
Oct 30, 2023 to Mar 25, 2024
Individual clients · 268 to 285
Oct 30, 2023 to Mar 25, 2024
Assets in custody · unset to 33002157.0
Oct 30, 2023 to Mar 25, 2024
Custody of client assets · false to true
Oct 30, 2023 to Mar 25, 2024
Discretionary RAUM · $127M to $138M
Oct 30, 2023 to Mar 25, 2024
HNW RAUM · $59.9M to $75.8M
Oct 30, 2023 to Mar 25, 2024
Individual RAUM · $66.8M to $62.4M
Oct 30, 2023 to Mar 25, 2024
RAUM · $127M to $138M
Oct 30, 2023 to Mar 25, 2024
Accounts · 792 to 713
Nov 2, 2022 to Mar 15, 2023
HNW clients · 39 to 44
Nov 2, 2022 to Mar 15, 2023
Individual clients · 308 to 268
Nov 2, 2022 to Mar 15, 2023
Assets in custody · 4740328.0 to unset
Nov 2, 2022 to Mar 15, 2023
Custody of client assets · true to false
Nov 2, 2022 to Mar 15, 2023
Financial planning clients · 1-10 to 11-25
Nov 2, 2022 to Mar 15, 2023
Discretionary RAUM · $138M to $127M
Nov 2, 2022 to Mar 15, 2023
HNW RAUM · $72.9M to $59.9M
Nov 2, 2022 to Mar 15, 2023
Individual RAUM · $64.9M to $66.8M
Nov 2, 2022 to Mar 15, 2023
RAUM · $138M to $127M
Nov 2, 2022 to Mar 15, 2023
Accounts · 658 to 792
Mar 24, 2021 to Mar 23, 2022
HNW clients · 17 to 39
Mar 24, 2021 to Mar 23, 2022
Individual clients · 290 to 308
Mar 24, 2021 to Mar 23, 2022

Signals

3 dated events

C•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
Mar 5, 2020 · First SEC registration · fact
Colleen Kelly Sheahan (Co-President, Chief Compliance Officer) appeared on Schedule A of C•••••• W••••• M••••••••• I•••
Mar 5, 2020 · Control person joined · fact
Emmett Bradley Sheahan (President, Chief Executive Officer & Chief Compliance Officer) no longer on Schedule A of C•••••• W••••• M••••••••• I••• (listed 2015-09-11, absent 2020-03-05)
Mar 5, 2020 · Control person left · inference

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 email: c••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business email: n•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 410-286-3180reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 301-812-1550reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 410-286-3130reportedpublished by the firm, firm site, Sep 16, 2026
Website: c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 301-812-1550reportedpublic record, Form ADV, Mar 16, 2026
Contact form: c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Team page: c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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: $63.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026