# Thompson Capital Management, LLC

> 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.

- CRD: 300993
- Filed as: THOMPSON CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: February 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/300993
- AdvisorCensus page: https://advisorcensus.com/firm/thompson-capital-management-llc-300993

## Quick answers

**How is Thompson Capital Management, LLC compensated?**
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).

**How much does Thompson Capital Management, LLC charge?**
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.

**Is Thompson Capital Management, LLC registered with the SEC or a state?**
Thompson Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 300993.

**How much does Thompson Capital Management, LLC manage?**
Thompson Capital Management, LLC reports $200,133,859 in regulatory assets under management in its Form ADV filing dated February 13, 2026 (95% discretionary).

**How have Thompson Capital Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Thompson Capital Management, LLC serve?**
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).

**Which custodians does Thompson Capital Management, LLC use?**
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.

**Does Thompson Capital Management, LLC report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated February 13, 2026)

- Flat fee: $2,500 to $5,000 a quarter (financial planning services)

> In some cases, the Firm charges a fixed quarterly fee ranging from $2,500 to $5,000 for financial planning services.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $200,133,859
- Discretionary: $189,640,802
- Non-discretionary: $10,493,057

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 11 | $4,864,074 |
| High net worth individuals | 69 | $84,864,831 |
| Other investment advisers | 5 | $109,867,726 |
| Corporations or other businesses not listed above | 1 | $537,228 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2019 (7 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, GA, IL, LA, MI, NH, NJ, PA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- thompsoncm.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $210,635,000 | 2 | March 18, 2021 |
| October 2022 | $416,046,754 | 3 | September 26, 2022 |
| October 2023 | $240,285,703 | 3 | March 3, 2023 |
| October 2024 | $193,724,388 | 3 | August 21, 2024 |
| October 2025 | $183,083,134 | 3 | March 5, 2025 |
| October 2026 | $200,133,859 | 3 | February 13, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Thompson Capital Management, LLC (CRD 300993): Form ADV filing data as of October 2026.