Thomas R. Noonan, Inc.

The firm provides investment advisory and portfolio management services to both individual and institutional clients, including pension and profit‑sharing plans, trusts, estates, charitable organizations, corporations, and other business entities. Services are delivered through managed account programs and written investment strategies and the firm also offers consulting to plan sponsors and similar institutional clients, with custodial and trading services facilitated through SEI Private Trust Company.

The firm’s investment process is tailored to each client’s objectives and risk profile, using methods such as asset allocation, dollar‑cost averaging, technical analysis, and a mix of long‑ and short‑term holdings. Suitability is documented at onboarding via risk‑profile questionnaires and accounts are reviewed at least quarterly while trades are monitored on a daily basis; the firm provides advice and implements transactions only with client authorization.

Compared with many peers, the firm reports managing primarily non‑discretionary assets rather than discretionary mandates and maintains a client base that includes pension plan engagements, both of which are less common among independent advisers. The firm does not engage in soft‑dollar arrangements or block‑trading aggregation, does not charge performance‑based fees, does not vote client proxies, and discloses a 2012 regulatory stipulation and monetary penalty for late filings.