# Tompkins & Co.

> 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.

- CRD: 157240
- Filed as: TOMPKINS & CO.
- Legal name: South Lakeview, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/157240
- AdvisorCensus page: https://advisorcensus.com/firm/tompkins-and-co-157240

## Quick answers

**How is Tompkins & Co. compensated?**
On its Form ADV (Item 5.E, October 2026), Tompkins & Co. reports these compensation arrangements: a percentage of assets under its management.

**Is Tompkins & Co. registered with the SEC or a state?**
Tompkins & Co. is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 157240.

**How much does Tompkins & Co. manage?**
Tompkins & Co. reports $355,000,000 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (4% discretionary).

**How have Tompkins & Co.'s assets and staff changed since 2021?**
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.

**Which custodians does Tompkins & Co. use?**
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.

**Does Tompkins & Co. 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/157240

**Does Tompkins & Co. state an account minimum?**
Its Form ADV Part 2A brochure dated March 19, 2026 says: "There is no account minimum."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 19, 2026)

- Account minimum: None

> There is no account minimum.

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

### Custodians (Schedule D, Section 5.K(3))
- J.P. Morgan Securities LLC

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: $355,000,000
- Discretionary: $15,000,000
- Non-discretionary: $340,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | Fewer than 5 | $355,000,000 |

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

### Firm details
- Registered since: 2011 (15 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- LinkedIn @JAMES-B-TOMPKINS-CFA-29930715

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $390,000,000 | 1 | March 18, 2021 |
| October 2022 | $390,000,000 | 1 | March 18, 2021 |
| October 2023 | $236,000,000 | 1 | March 29, 2023 |
| October 2024 | $318,000,000 | 1 | September 16, 2024 |
| October 2025 | $390,000,000 | 1 | April 2, 2025 |
| October 2026 | $355,000,000 | 1 | March 19, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tompkins & Co. (CRD 157240): Form ADV filing data as of October 2026.