Thompson Capital Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Thompson Capital Management LLC provides ongoing portfolio management to individual and high-net-worth clients, preparing a written Investment Policy Statement for each client that documents goals, time horizon, tax considerations and risk tolerance. The firm primarily recommends publicly traded equities and may also use ETFs, REITs, fixed income and non-U.S. securities to build diversified portfolios.
TCM’s investment process uses a mix of analysis techniques — fundamental, technical, charting, cyclical and quantitative — and employs both long-term and short-term trading strategies, including options, short sales and, at times, margin transactions. Accounts are managed on a discretionary basis in accordance with client investment policies, reviewed periodically (at least quarterly), and the firm states it seeks best execution and fair allocation across client accounts.
Uncommonly for peers of its size, TCM may charge performance-based fees to qualified clients and explicitly manages both performance-fee and non-performance accounts, disclosing the resulting conflict and the firm’s policies to mitigate systematic advantage. The firm manages all client assets in-house, generally directs clients to a specific custodian for execution, and discloses that it may receive broker-provided research or services in connection with trading.
Client services
Expertise
Fee options
20% of net profits above a high water mark, in addition to 2% asset based management fee for qualified clients
Main office
West Chester PA
Advisors at this office
1
Most active in
Pennsylvania
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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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.
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