Thompson Capital Management, LLC logo

Thompson Capital Management, LLC

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Client assets under management

$89,728,905

Clients

80

86% high-net worth

Advisors

3

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

27

Low

Average account size

$1,121,611

About

Thompson Capital Management provides discretionary investment management, financial planning, and pension consulting primarily to individual and high-net-worth clients, and also acts as a sub-adviser to other investment advisers. The firm manages roughly $200 million across about 80 client relationships and typically implements services through separately managed accounts and written advisory agreements.

The firm runs model-driven strategies that include equities, options, fixed income, and tactical overlays, and it may employ leverage, margin, inverse and leveraged ETFs, and other derivatives in separately managed accounts as part of its volatility and hedging approaches. Thompson Capital publicly discloses performance information, including predecessor track records, and uses quantitative and VIX-linked tools to manage risk and pursue its named strategies.

Notable distinctions include its active sub-advisory and licensing relationships with another registered adviser and employment affiliations between the firms, which create cross-firm distribution and licensing arrangements. The adviser operates with a small, concentrated portfolio management team, uses promoter referral arrangements for client introductions, and routinely employs derivatives and higher-frequency trading in ways that are atypical for many peers in its category.

Client services

Financial planning Portfolio management Pension consulting

Expertise

Options & derivatives strategies Active portfolio management Passive / index investing

Fee options

Fixed

Fixed quarterly fees ranging from $2,500 to $5,000 for financial planning services

Percentage

$0+: 0.125% (Legacy Navigator) $0+: 1.00% (Alpha Seeker) $0+: 1.00% (Hedged Yield) $0+: 1.00% (Tactical Beta) $0+: 1.00% (Tactical Q) $0+: 1.00% (EAFE Smart Index) $0+: 1.00% (EEM Smart Index) $0+: 2.00% (Hedge Disruptor)

Project-based

Hourly-based planning may be offered at advisor discretion

Other

Account minimum: $100,000 Fee-only: Average 0.83% for financial planning; fixed quarterly fees $2,500 to $5,000; hourly rates discretionary

Main office location

Thompson Capital Management, LLC

Indian Head Park IL, United States

Number of offices

3

Most active in

California · Florida · Georgia · Illinois · Louisiana · Michigan · New Hampshire · New Jersey · Pennsylvania · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Thomas H

CFA®, Series 63, Series 65, Series 66

Crystal Lake, IL

Thompson Capital Management, LLC

Thomas Hines is a CFA charterholder with 17 years of industry experience. He is currently with Thompson Capital Management, LLC, where he has worked since 2021. Prior to this, he was employed at Lowery Asset Consulting, LLC and Good Harbor Financial. Thompson Capital Management provides investment management and financial planning services primarily to individual and high-net-worth clients, as well as sub-advisory services to other investment advisers. The firm utilizes a model-driven investment approach across multiple strategies, incorporating equities, fixed income, options, and exchange-traded products, including derivatives and VIX-linked instruments.

Options & derivatives strategies Active portfolio management Passive / index investing
user avatar

David T

CFA®

Indian Head Park, IL

Thompson Capital Management, LLC

David Thompson is a CFA® charterholder with 11 years of industry experience. He is a principal at Thompson Capital Management, LLC, where he has worked since 2019, and also serves as a portfolio manager and trader at Little Harbor Advisors, LLC. His prior experience includes roles at Kaizen Advisory, LLC and Typhon Capital. Thompson Capital Management provides investment management and financial planning primarily to individual and high-net-worth clients, as well as sub-advisory services to other investment advisers. The firm employs a model-driven investment approach across multiple strategies, utilizing equities, fixed income, options, and exchange-traded products, including derivatives and VIX-linked instruments, to implement tactical risk-management and quantitative elements.

Options & derivatives strategies Active portfolio management Passive / index investing
user avatar

Michael T

CFA®, Series 63

Indian Head Park, IL

Thompson Capital Management, LLC

Michael Thompson is a CFA® charterholder with 11 years of industry experience. He currently serves as a financial advisor at Thompson Capital Management, LLC and Little Harbor Advisors, LLC, where he holds the role of Portfolio Manager. His prior experience includes positions at Kaizen Advisory and Typhon Capital. Thompson Capital Management provides investment management and financial planning primarily to individual and high-net-worth clients, and also serves other advisers through sub-advisory arrangements. The firm employs a model-driven investment approach across multiple strategies, utilizing equities, fixed income, options, and exchange-traded products, including derivatives and VIX-linked instruments.

Options & derivatives strategies Active portfolio management Passive / index investing
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