Thames Financial Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$296,141,481
Clients
292
Advisors
2
of 2 employees
About
Thames Financial Management provides portfolio management and investment advisory services to individuals, trusts, estates, pension and profit‑sharing plans, and business entities, serving both high‑net‑worth and non‑HNW clients. The firm manages roughly $315 million in combined discretionary and non‑discretionary assets for about 292 clients and generally works with households that have investable assets above the firm’s stated thresholds.
The firm’s investment process emphasizes fundamental analysis and a long‑term, buy‑and‑hold orientation with diversification to moderate portfolio volatility. Thames also employs option strategies—such as covered call writing and other short option positions—to enhance return or adjust equity exposure, and it conducts at least quarterly portfolio reviews with in‑depth annual reviews and regular client contact.
Thames is notable among similarly sized supported firms for carrying a high level of assets and a large client roster relative to its advisory headcount, a configuration that is uncommon in the peer group. The firm is affiliated with a local certified public accounting practice that refers clients and shares office space, and its documented use of derivatives alongside traditional fundamental analysis is a distinguishing element of how it implements client portfolios.
Client services
Expertise
Fee options
$50,000 - $249,999: 1.00% $250,000 - $3,499,999: 0.75% >$3,500,000+: Negotiable
$300.00 per hour
Account minimum: Generally clients have investible assets of >$300,000; high-net-worth clients have >$750,000 investible assets or >$1,500,000 financial net worth; some clients with less than these amounts are accepted.
Main office
457 West Main Street
Norwich CT 06360
Advisors at this office
2
Most active in
Connecticut · Florida · Massachusetts · Minnesota · New Hampshire · New Jersey · New York · Rhode Island · Texas · Washington
Also doing business as
Cdm Financial Counseling Services, Inc. · Thames Financial Management
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:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate 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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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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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.
Advisors at this firm
Steven B
CFP®
Norwich, CT
Thames Financial Management
Steven Bokoff is a CFP® professional with 25 years of industry experience, currently serving as a partner at Goldblatt Bokoff LLC, a certified public accounting firm. He has been involved with CDM Financial Counseling Services, doing business as Thames Financial Management, since 1996. Thames Financial Management provides portfolio management and investment advisory services to individuals, trusts, estates, pension and profit-sharing plans, and business entities, serving both high-net-worth and non-HNW clients. The firm manages approximately $315 million in assets and employs a long-term, fundamental analysis-based investment approach that includes option strategies and regular portfolio reviews.
Andrew S
CFA®, Series 63
Norwich, CT
Thames Financial Management
Andrew Sawyer is a CFA® charterholder with 25 years of industry experience. He has worked at Thames Financial Management since 2018 and previously spent seven years at First Manhattan Co. Outside of his advisory role, he is the owner and operator of Preston Ridge Vineyard, a farm winery. Thames Financial Management provides portfolio management and investment advisory services to individuals, trusts, estates, pension and profit-sharing plans, and business entities. The firm serves both high-net-worth and non-HNW clients, managing approximately $315 million in assets with an investment approach that emphasizes fundamental analysis, long-term buy-and-hold strategies, diversification, and option strategies to enhance returns or adjust equity exposure.
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