M. Thomas Capital Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$11,000,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
41
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
41
Average account size
$268,293
About
M. Thomas Capital Management is a small, single-advisor independent advisory firm that provides ongoing portfolio management, financial planning, and project-based financial analysis to individuals (including high-net-worth clients) and business entities. Services described in the brochure include creation of an Investment Policy Statement, discretionary portfolio management, and ad-hoc engagements such as business profitability assessments and due diligence.
The firm describes an investment approach grounded in modern portfolio theory and long-term trading, with a primary emphasis on index funds, mutual funds, ETFs, fixed income and select alternative vehicles to implement client objectives. Client portfolios are managed pursuant to documented risk tolerances and investment policy statements, with quarterly account reviews and custodial relationships maintained through Schwab Institutional.
A notable feature is that the firm’s principal also practices law through an affiliated legal practice, and the brochure discloses that legal-related products or advice may be offered outside the advisory relationship, which the firm acknowledges could present conflicts of interest. The firm also highlights project-based work, including litigation support (non-legal) and transactional due diligence for business clients, and may accept contingent or non-standard arrangements on a project basis, which is less common for a solo independent adviser.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
General retirement planning
College savings (529s, UTMA, etc.)
Annuities
Fee options
Financial planning fixed fees: $1,000 to $10,000; Project-Based Financial Analysis fixed fees: $1,000 to $20,000
$0 - $1,000,000: 0.75% $1,000,000 - $2,000,000: 0.65% $2,000,000 - $5,000,000: 0.50% $5,000,000+: 0.25%
$100 to $500 per hour
Contingent fees for Project-Based Financial Analysis: 1% to 20% of project value
Main office location
M. Thomas Capital Management
Chagrin Falls OH, United States
Number of offices
1
Most active in
M. Thomas Capital Management has reported serving >5 clients in these states in the last 12 months.
Ohio
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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
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