Thompson Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$74,084,322
Clients
225
8% 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
225
Very HighAverage account size
$329,264
About
Thompson Financial provides financial planning and discretionary portfolio management to individual clients and sponsors of employer-sponsored retirement plans, including pension and profit-sharing plans. The firm works with primarily non-high-net-worth individuals and offers both one-time planning engagements and ongoing investment management services.
The firm typically begins client relationships with a planning engagement and implements portfolio recommendations using diversified allocations built mainly with no-load mutual funds and ETFs, with limited use of individual equities and fixed-income where appropriate. Clients receive ongoing monitoring and rebalancing, access to planning software such as RightCapital and IncomeLab, and the firm documents and implements reasonable, client-requested investment restrictions.
The firm manages roughly $74 million in discretionary assets while serving about 225 clients, a client count that is unusually high relative to peers in its category. It also offers ERISA-focused services — providing both fiduciary and non-fiduciary plan-level consulting and acting in some cases as a 3(21) adviser (but not as a 3(38) manager) — and the firm’s principal is a licensed insurance agent who may recommend insurance products, a practice that creates a potential conflict of interest for clients to consider.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
General retirement planning
Income planning
College savings (529s, UTMA, etc.)
Life insurance needs analysis
Long-term care insurance
Fee options
0.65% annually (maximum)
Insurance product commissions received by owner as a licensed insurance agent
Maximum $225 per hour, negotiable
Minimum fee: Maximum quarterly fee per account is $3,900 Fee-only: Hourly financial planning services up to $225/hour (negotiable)
Main office location
Thompson Financial LLC
Kenmore WA, United States
Number of offices
1
Most active in
Thompson Financial LLC has reported serving >5 clients in these states in the last 12 months.
Texas · Washington
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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