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.
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SEC-registered adviser
C••••••••• F•••••••• A•••••••
Legal name T•••• C•••••• M••••••••• L••
Latest filing Aug 19, 2026
First filing on the tape Jul 27, 2017 · 23 filings
SEC status approved since Aug 30, 2017
RAUM
$310M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
96%
$298M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$310M as of Aug 19, 2026
Mar 2, 2018$154M then
HNW client RAUM$228M as of Aug 19, 2026
Mar 2, 2018$78.6M then
State-registered IARs (5.B.3)2 as of Aug 19, 2026
Mar 2, 20184 then
Employees (5.A)10 as of Aug 19, 2026
Mar 2, 20188 then
Private funds: no history
RAUM +18% over the last fiscal year+8.1% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $301,038derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$228M74%
- Individuals$69.9M23%
- Pension and profit-sharing plans$11.5M3.7%
- Charitable organizations$689,6580.2%
- Individual clients
- 177reported
- HNW clients
- 91reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 1,030reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• L•••• P••• | Towson, Md | Oct 27, 2015 | 12 y | 0 |
| T••••• J••••• T•••••Personal Financial Specialist | Towson, Md | Oct 27, 2015 | 28 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 headcount1 left over 36 months
Left, latest
- M•••••• R••••• P•••••• to T•• K•••• G••••Mar 4, 2025 · RIA to RIA
- T•••••• N••••••• M••• to P•••••• F•••••••• A••••••• L••Jul 27, 2023 · RIA to a newly registered adviser
- M•••••• C• K•••• to H•••••• F•••••••• G••••• L••May 23, 2023 · RIA to a newly registered adviser
Joined, latest
- M•••••• R••••• P•••••• from W•• P•••••••• L••May 10, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• C••••• L•••• · Senior Financial Advisor/Membercontrolsince 01/2017 · owns 5% to 10%
- S••••• K••••• B•••••• · Director Of Client Services/Membercontrolsince 01/2017 · owns 5% to 10%
- T•••••• T•••••• J••••• · Founder/Managing Member/Chief Compliance Officercontrolsince 05/1998 · owns 75% or more
Related persons
Schedule D 7.A
- T••••• • C•••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Towson, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Frederick, MD1 employees
- Fulton, MD1 employees
What changed
consecutive filings, newest first
- Accounts · 1,028 to 1,030Mar 5, 2025 to Mar 11, 2026
- Advisory employees · 8 to 7Mar 5, 2025 to Mar 11, 2026
- HNW clients · 84 to 91Mar 5, 2025 to Mar 11, 2026
- Individual clients · 178 to 177Mar 5, 2025 to Mar 11, 2026
- Pension plan clients · 22 to 19Mar 5, 2025 to Mar 11, 2026
- Employees · 11 to 10Mar 5, 2025 to Mar 11, 2026
- State-registered IARs · 3 to 2Mar 5, 2025 to Mar 11, 2026
- Discretionary RAUM · $253M to $295MMar 5, 2025 to Mar 11, 2026
- HNW RAUM · $191M to $228MMar 5, 2025 to Mar 11, 2026
- Individual RAUM · $62.1M to $69.9MMar 5, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $10.7M to $15.4MMar 5, 2025 to Mar 11, 2026
- Pension RAUM · $10.0M to $11.5MMar 5, 2025 to Mar 11, 2026
- RAUM · $264M to $310MMar 5, 2025 to Mar 11, 2026
- Accounts · 976 to 1,028Oct 23, 2024 to Mar 5, 2025
- Advisory employees · 9 to 8Oct 23, 2024 to Mar 5, 2025
- HNW clients · 57 to 84Oct 23, 2024 to Mar 5, 2025
- Individual clients · 198 to 178Oct 23, 2024 to Mar 5, 2025
- Pension plan clients · 26 to 22Oct 23, 2024 to Mar 5, 2025
- Employees · 12 to 11Oct 23, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 11-25Oct 23, 2024 to Mar 5, 2025
- Discretionary RAUM · $189M to $253MOct 23, 2024 to Mar 5, 2025
- HNW RAUM · $120M to $191MOct 23, 2024 to Mar 5, 2025
- Individual RAUM · $65.4M to $62.1MOct 23, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $3.0M to $10.7MOct 23, 2024 to Mar 5, 2025
- Pension RAUM · $7.6M to $10.0MOct 23, 2024 to Mar 5, 2025
- RAUM · $192M to $264MOct 23, 2024 to Mar 5, 2025
- Accounts · 1,286 to 976Nov 3, 2023 to Mar 14, 2024
- Advisory employees · 11 to 9Nov 3, 2023 to Mar 14, 2024
- HNW clients · 74 to 57Nov 3, 2023 to Mar 14, 2024
- Individual clients · 305 to 198Nov 3, 2023 to Mar 14, 2024
- Pension plan clients · unset to 26.0Nov 3, 2023 to Mar 14, 2024
- Employees · 14 to 12Nov 3, 2023 to Mar 14, 2024
- State-registered IARs · 4 to 3Nov 3, 2023 to Mar 14, 2024
- Other offices · 3 to 2Nov 3, 2023 to Mar 14, 2024
- Discretionary RAUM · $242M to $189MNov 3, 2023 to Mar 14, 2024
- HNW RAUM · $144M to $120MNov 3, 2023 to Mar 14, 2024
- Individual RAUM · $97.5M to $65.4MNov 3, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $3.7M to $3.0MNov 3, 2023 to Mar 14, 2024
- Pension RAUM · $4.3M to $7.6MNov 3, 2023 to Mar 14, 2024
- RAUM · $245M to $192MNov 3, 2023 to Mar 14, 2024
Signals
5 dated events
- M•••••• R••••• P•••••• left C••••••••• F•••••••• A••••••• for T•• K•••• G•••• (registered 2025-04-25)Mar 4, 2025 · Advisor changed firm · fact
- T•••••• N••••••• M••• left C••••••••• F•••••••• A••••••• for P•••••• F•••••••• A••••••• L•• (registered 2023-09-18)Jul 27, 2023 · Advisor changed firm · fact
- Nicholas Timothy Mudd (Principal, Member, Chief Compliance Officer) no longer on Schedule A of C••••••••• F•••••••• A••••••• (listed 2023-02-28, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- M•••••• C• K•••• left C••••••••• F•••••••• A••••••• for H•••••• F•••••••• G••••• L•• (registered 2023-06-15)May 23, 2023 · Advisor changed firm · fact
- C••••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 27, 2017 · First SEC registration · fact
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
- 410-823-5442reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/chesapeakefinancialadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- thomacap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-823-5442reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- peakeadvisors.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- peakeadvisors.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026