{
  "crd_number": 300993,
  "slug": "thompson-capital-management-llc-300993",
  "primary_business_name": "THOMPSON CAPITAL MANAGEMENT, LLC",
  "legal_name": "THOMPSON CAPITAL MANAGEMENT, LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2019-04-02",
  "years_registered": 7,
  "period": "2026-10-01",
  "filing_date": "2026-02-13",
  "carried_forward": false,
  "raum_total": 200133859.0,
  "raum_discretionary": 189640802.0,
  "raum_non_discretionary": 10493057.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 3,
  "advisory_employees": 3,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 4864074.0,
      "count": 11
    },
    "other_investment_advisers": {
      "raum": 109867726.0,
      "count": 5
    },
    "high_net_worth_individuals": {
      "raum": 84864831.0,
      "count": 69
    },
    "corporations_other_businesses": {
      "raum": 537228.0,
      "count": 1,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "FL",
    "GA",
    "IL",
    "LA",
    "MI",
    "NH",
    "NJ",
    "PA",
    "TX"
  ],
  "websites": [
    "https://thompsoncm.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/300993",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/thompson-capital-management-llc-300993",
  "display_name": "Thompson Capital Management, LLC",
  "summary": "Thompson Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 13, 2026.",
  "citation": "AdvisorCensus. Thompson Capital Management, LLC (CRD 300993): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Thompson Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Thompson Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Thompson Capital Management, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated February 13, 2026 states: Flat fee: $2,500 to $5,000 a quarter (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Is Thompson Capital Management, LLC registered with the SEC or a state?",
      "a": "Thompson Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 300993."
    },
    {
      "q": "How much does Thompson Capital Management, LLC manage?",
      "a": "Thompson Capital Management, LLC reports $200,133,859 in regulatory assets under management in its Form ADV filing dated February 13, 2026 (95% discretionary)."
    },
    {
      "q": "How have Thompson Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Thompson Capital Management, LLC: Regulatory assets under management: $210,635,000 in the October 2021 data and $200,133,859 in the October 2026 data, down 5%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Thompson Capital Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (69); individuals (other than high net worth individuals) (11); other investment advisers (5)."
    },
    {
      "q": "Which custodians does Thompson Capital Management, LLC use?",
      "a": "Thompson Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Thompson Capital Management, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/300993"
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 210635000.0,
      "total_employees": 2,
      "filing_date": "2021-03-18"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 416046754.0,
      "total_employees": 3,
      "filing_date": "2022-09-26"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 240285703.0,
      "total_employees": 3,
      "filing_date": "2023-03-03"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 193724388.0,
      "total_employees": 3,
      "filing_date": "2024-08-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 183083134.0,
      "total_employees": 3,
      "filing_date": "2025-03-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 200133859.0,
      "total_employees": 3,
      "filing_date": "2026-02-13"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated February 13, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: $2,500 to $5,000 a quarter (financial planning services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $2,500 to $5,000 a quarter (financial planning services)"
        ],
        "quotes": [
          "In some cases, the Firm charges a fixed quarterly fee ranging from $2,500 to $5,000 for financial planning services."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": 2500.0,
          "max": 5000.0,
          "period": "quarterly",
          "service": "financial planning services"
        }
      ]
    },
    "quotes": [
      "In some cases, the Firm charges a fixed quarterly fee ranging from $2,500 to $5,000 for financial planning services."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/thompson-capital-management-llc-300993.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 11,
      "fewer_than_5": false,
      "raum": 4864074.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 69,
      "fewer_than_5": false,
      "raum": 84864831.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 5,
      "fewer_than_5": false,
      "raum": 109867726.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1,
      "fewer_than_5": true,
      "raum": 537228.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/300993",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}