{ "crd_number": 157240, "slug": "tompkins-and-co-157240", "primary_business_name": "TOMPKINS & CO.", "legal_name": "SOUTH LAKEVIEW, LLC", "dbas": [], "city": null, "state": null, "country": null, "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2011-04-27", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-03-19", "carried_forward": false, "raum_total": 355000000.0, "raum_discretionary": 15000000.0, "raum_non_discretionary": 340000000.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "high_net_worth_individuals": { "raum": 355000000.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CO" ], "websites": [ "https://linkedin.com/IN/JAMES-B-TOMPKINS-CFA-29930715" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157240", "city_as_filed": null, "url": "https://advisorcensus.com/firm/tompkins-and-co-157240", "display_name": "Tompkins & Co.", "summary": "Tompkins & Co. is an SEC-registered investment advisory firm, registered since 2011, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.", "citation": "AdvisorCensus. Tompkins & Co. (CRD 157240): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Tompkins & Co. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Tompkins & Co. reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Is Tompkins & Co. registered with the SEC or a state?", "a": "Tompkins & Co. is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 157240." }, { "q": "How much does Tompkins & Co. manage?", "a": "Tompkins & Co. reports $355,000,000 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (4% discretionary)." }, { "q": "How have Tompkins & Co.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Tompkins & Co.: Regulatory assets under management: $390,000,000 in the October 2021 data and $355,000,000 in the October 2026 data, down 9%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Which custodians does Tompkins & Co. use?", "a": "Tompkins & Co.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists J.P. Morgan Securities LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Tompkins & Co. 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/157240" }, { "q": "Does Tompkins & Co. state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 19, 2026 says: \"There is no account minimum.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 390000000.0, "total_employees": 1, "filing_date": "2021-03-18" }, { "period": "2022-10-01", "regulatory_assets_under_management": 390000000.0, "total_employees": 1, "filing_date": "2021-03-18" }, { "period": "2023-10-01", "regulatory_assets_under_management": 236000000.0, "total_employees": 1, "filing_date": "2023-03-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": 318000000.0, "total_employees": 1, "filing_date": "2024-09-16" }, { "period": "2025-10-01", "regulatory_assets_under_management": 390000000.0, "total_employees": 1, "filing_date": "2025-04-02" }, { "period": "2026-10-01", "regulatory_assets_under_management": 355000000.0, "total_employees": 1, "filing_date": "2026-03-19" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 19, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "There is no account minimum." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "There is no account minimum." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "J.P. Morgan Securities LLC", "name_as_filed": "J.P. MORGAN SECURITIES LLC", "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/tompkins-and-co-157240.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": null, "fewer_than_5": true, "raum": 355000000.0 } ], "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/157240", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }