JW Thompson Investments LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
J.W. Thompson Investments, LLC provides discretionary and non‑discretionary portfolio management, general financial consulting, and retirement-plan consulting to individuals, trusts, estates, charitable organizations, corporations and pension plans. The firm reports about $30.4 million in assets under management across roughly 190 client relationships and serves both high‑net‑worth and non‑HNW individual clients.
The firm actively manages portfolios that are primarily equity and fixed income and tailors strategies to clients’ tax situations, income needs and risk tolerances, employing fundamental, technical, charting and cyclical analysis. JWTI offers ongoing investment supervisory services and limited‑scope financial advice, and generally maintains a $100,000 account minimum that may be waived.
JWTI’s advisory team includes individuals who are also registered representatives of LPL Financial, and the firm generally requires clients to custody accounts and execute trades through LPL — a structure that provides platform tools and support but also creates potential conflicts tied to broker‑dealer transition assistance and product availability. The firm also advises retirement‑plan sponsors that collectively have more than $2 billion in retirement plan assets and over 8,000 participants, an institutional consulting footprint notable relative to its modest retail AUM.
Client services
Expertise
Occupation focus
Fee options
$100,000 - $500,000: 1.50% annually $500,001 - $999,999: 1.25% annually $1,000,000 - $2,000,000: 1.00% annually $2,000,001 - $3,000,000: 0.80% annually $3,000,001 - $5,000,000: 0.70% annually $5,000,001 - $7,000,000: 0.60% annually $7,000,001 - $12,000,000: 0.40% annually $12,000,001+: 0.30% annually
Account minimum: $100,000 (may be waived) Fee-only: Negotiable investment management fees plus transaction, custodial, SEC and broker/dealer fees; Retirement Plan Consulting billed quarterly in arrears.
Main office
See officeSinger Island FL
Advisors at this office
1
Offices (2)
Most active in
Florida · Massachusetts · New York · Rhode Island
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
John T
Series 63, Series 65
Singer Island, FL
JW Thompson Investments LLC
John Thompson is a financial advisor with JW Thompson Investments LLC, holding Series 63 and Series 65 credentials and possessing 39 years of industry experience. He has been with JW Thompson Investments LLC and LPL Financial LLC since 2013. Thompson provides investment advisory services through his independent firm, which he started in 1999. JW Thompson Investments LLC serves individuals, retirement plans, trusts, estates, charitable organizations, and businesses by offering portfolio management, limited financial consulting, and retirement-plan consulting. The firm manages both discretionary and non-discretionary accounts for approximately 130 clients, employing a portfolio construction approach that incorporates fundamental, technical, charting, and cyclical analyses tailored to clients’ tax situations, income needs, and risk tolerance.
John T
Series 66
Providence, RI
JW Thompson Investments LLC
John Thompson IV is a financial advisor at J.W. Thompson Investments LLC in Providence, RI, holding a Series 66 designation with 23 years of industry experience. He has been with J.W. Thompson Investments and affiliated with LPL Financial since 2013. J.W. Thompson Investments LLC provides investment advisory services to individuals, retirement plans, trusts, estates, charitable organizations, and business entities, managing both discretionary and non-discretionary accounts. The firm employs a portfolio construction approach that incorporates fundamental, technical, charting, and cyclical analysis tailored to clients' tax situations, income needs, and risk tolerances, and maintains a significant retirement-plan consulting practice overseeing over $1.8 billion in assets.
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