Thompson Capital Management, LLC

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.