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 formed in 2018 and owned privately. The firm advises both individuals/families and institutional clients, providing financial planning and portfolio management for individuals and small businesses. Its fee model combines a percentage-of-AUM charge with hourly billing. Thames does not identify itself as an active ESG investor and is not flagged as a multi-state adviser in the filing. The firm lists an affiliation with an accountant among its industry connections.
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 47Active vs passive
$104M in ETFs
91%
$94.7M
0%
$9.3M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $12.5M | 19,176 | 11.99% |
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
Similar firms
GREYLOCK CAPITAL MANAGEMENT, LLC
RIASTAMFORD, CT
WAYPOINT CAPITAL PARTNERS, LLC
RIASTAMFORD, CT
EXCEL WEALTH MANAGEMENT, LLC
RIAMANCHESTER, CT
TOOMEY INVESTMENT MANAGEMENT, INC
RIAWALLINGFORD, CT
MILESTONE ASSET MANAGEMENT GROUP, LLC
RIAAVON, CT
DUNBAR ASSOCIATES, LLC
RIAMONROE, CT