Thoma Capital Management provides financial planning, portfolio management for individuals and small businesses, business succession planning, education planning, estate planning, insurance, philanthropic planning, and tax planning. Financial planning was provided to 11–25 clients last fiscal year.
Thoma Capital Management reports 287 clients. They include 177 individual clients, 91 high-net-worth individuals, and 19 pension and profit-sharing plans. Of its assets, 95.0% ($295M across 1,014 accounts) are managed with discretion; $15.4M across 16 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 62% | 23% |
| High-net-worth individuals | 32% | 74% |
| Pension and profit-sharing plans | 7% | 4% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 177 | $69.9M | 22.5% | $395K |
| High-net-worth individuals | 91 | $228M | 73.5% | $2.5M |
| Pension and profit-sharing plans | 19 | $11.5M | 3.7% | $608K |
| Charitable organizations | Fewer than 5 | $690K | 0.2% | — |
| Total | 287 | $310M | 100% | — |
- Clients
- 177
- Regulatory AUM
- $69.9M
- AUM share
- 22.5%
- Avg. per client
- $395K
- Clients
- 91
- Regulatory AUM
- $228M
- AUM share
- 73.5%
- Avg. per client
- $2.5M
- Clients
- 19
- Regulatory AUM
- $11.5M
- AUM share
- 3.7%
- Avg. per client
- $608K
- Clients
- Fewer than 5
- Regulatory AUM
- $690K
- AUM share
- 0.2%
- Avg. per client
- —
Total
- Clients
- 287
- Regulatory AUM
- $310M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Thoma Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Thomas Taylor owns 75% or more of Thoma Capital Management. The leadership team of Thoma Capital Management includes Chief Compliance Officer Thomas Taylor. It has 10 employees, 7 of them in advisory roles.
Staff
- 10 employees
- 7 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Thoma Capital Management LLC
Thomas Taylor
Control person · since May 1998
- Owns 5% to 10% of Thoma Capital Management LLC
Craig Pohl
Control person · since January 2017
- Owns 5% to 10% of Thoma Capital Management LLC
Katie Smith
Control person · since January 2017
Thoma Capital Management’s regulatory assets grew 1.5× from $205M (February 2021) to $310M (August 2026); clients fell from 363 to 287 and employees from 11 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Aug 2026August 2026 | $310M | 287 | 10 | 3 |
| Mar 2025March 2025 | $264M | 284 | 11 | 3 |
| Mar 2024March 2024 | $192M | 281 | 12 | 3 |
| Jul 2023July 2023 | $245M | 379 | 14 | 4 |
| Jul 2022July 2022 | $272M | 337 | 14 | 4 |
| Feb 2021February 2021 | $205M | 363 | 11 | 3 |
Besides its headquarters, Thoma Capital Management has 2 offices, with 3 listed addresses in 1 state.
Maryland · 3 listed addresses
- 401 Jefferson Avenue, TowsonHQ
- 8115 Maple Lawn BLVD, Fulton
- 5100 Buckeystown Pike, Frederick
Contact and registration details
- Legal name
- Thoma Capital Management LLC
- Headquarters
- 401 Jefferson Avenue, Towson, MD 21286
- Website
- peakeadvisors.com
- Phone
- 410-823-5442
- @chesapeakefinancialadvisors
- SEC file
- 801-111054
- Founded
- 1998
- Structure
- Maryland LLC
- Fiscal year end
- December
Thoma Capital Management’s named custodian for separately managed accounts is Charles Schwab ($251M). Thoma Capital Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $251M100%
At year end, Thoma Capital Management’s separately managed accounts were mostly in funds (75%) and stocks (14%). Its reported 13F holdings for the quarter ended 30 June 2026 total $188M across 53 positions; the largest are State Str SPDR S&P 500 ETF T (26.2%), iShares TR (19.2%) and iShares TR (16.1%).
What the accounts hold
- Stocks14%
- Funds75%
- Bonds7%
- State and local bonds4%
- Investment grade corporate bonds2%
- High-yield corporate bonds1%
- Cash4%
How many clients does Thoma Capital Management have?
Thoma Capital Management has 287 clients and manages $310 million for them, as of August 2026. They include 177 individual clients, 91 high-net-worth individuals, and 19 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 19 August 2026
What services does Thoma Capital Management offer?
Thoma Capital Management provides financial planning, portfolio management for individuals and small businesses, business succession planning, education planning, estate planning, insurance, philanthropic planning, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Thoma Capital Management use?
Thoma Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $251M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 August 2026
How many financial advisors does Thoma Capital Management have?
Thoma Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 10 employees, and 7 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Thoma Capital Management invest in?
At the end of its last fiscal year, Thoma Capital Management’s separately managed accounts held 75% registered funds (mutual funds, ETFs, BDCs), 14% exchange-traded equities, 4% state and local bonds, 4% cash and equivalents, 2% investment grade corporate bonds and 1% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Thoma Capital Management?
Thoma Capital Management’s direct owners are Thomas Taylor (75% or more), Craig Pohl (5% to 10%) and Katie Smith (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 19 August 2026
How does Thoma Capital Management get paid?
Thoma Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Thoma Capital Management?
Thoma Capital Management’s main office is at 401 Jefferson Avenue, Towson, MD 21286. Its phone number is 410-823-5442. Its website is peakeadvisors.com.