Thomas Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$12,405,036
Clients
18
28% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
18
LowAverage account size
$689,169
About
Thomas Capital Management provides discretionary investment management and ongoing portfolio monitoring to individual and high‑net‑worth clients on a fee basis tied to assets under management. The firm typically constructs portfolios using stocks and bonds and may include no‑load or institutional mutual funds and ETFs when deemed appropriate.
The firm follows an active management approach with both long‑ and short‑term holding periods and may execute trades in under 30 days when it deems necessary; its analysis draws on fundamental, technical and cyclical methods and portfolios are tailored to clients’ retirement horizon, risk tolerance and financial goals. Clients can impose reasonable restrictions on management, which the firm says may affect portfolio composition and performance and, in some cases, could lead to termination of the advisory agreement.
Noteworthy features include a small client base (18 clients) and modest AUM (about $12.4 million) combined with no stated account minimum, suggesting highly personalized relationships at a relatively small scale. The firm requires clients to use Charles Schwab for custody and participates in Schwab Advisor Services (receiving related benefits), discloses a financial incentive when clients roll over retirement accounts to the firm, and does not perform proxy‑voting on clients’ behalf.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
$0+: 0.50% +: up to 2.0%
Most active in
Thomas Capital Management, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona
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 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.
Forms ADV
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