Thames Financial Management
Firm details
- Headquarters
- Norwich, Connecticut
- CRD number
- 126295
- Registered since
- April 23, 2018
- Website
- www.thamesct.com
- Custodians
- FIDELITY DISTRIBUTORS COMPANY LLC
- Fee structure
- Percentage of AUM, Hourly Charges
- Client types
- HNWI77.79%
- Individuals16.09%
- Corporations / Businesses3.3%
- Pension & Profit Sharing Plans2.82%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Thames Financial Management is an independent registered investment adviser that entered SEC registration in 2018 and is owned by an individual principal. The firm serves both individual and family clients as well as some institutional relationships, focusing on financial planning and portfolio management for individuals and small businesses. Its fee model combines a percentage of assets under management with the option for hourly charges. Thames does not describe itself as an active ESG investor, does not operate as a capital allocator to third‑party alternative managers, and is not registered as a multi‑state adviser. The firm lists an industry affiliation with an accountant.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds48%
- Exchange Traded Equities34%
- US Government Bonds10%
- Cash & Cash Equivalents7%
- Investment Grade Corp Bonds1%
Contacts
3 of 3Denise Lindell
ShareholderCRD 7862927
Steven Bokoff
Managing PartnerCRD 4650243
Andrew Sawyer
OwnerCRD 4218645
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 46Active vs passive
$121M in ETFs
91%
$111M
0%
$10.4M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $13.9M | 18,592 | 11.47% |
Location
Norwich, CT
New London
Location
Norwich, CT
Headquartered in Norwich, CT, anchoring the Hartford-East Hartford, CT metro in the Northeast.
- Metro area
- Hartford-East Hartford, CT
- Region
- Northeast
- County
- New London
- Address
- 457 W Main St
- Time zone
- ET (UTC-5)
- Office locations
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