Thompson Investment Management, Inc.

RIASEC RegisteredEst. 2003
Total AUM
$3.1B
Discretionary
$3.1B
100% of AUM
Avg account
$3.3M
Accounts
941
Employees
17
Advisory reps
7

Firm details

Headquarters
Madison, Wisconsin
CRD number
129609
Registered since
December 5, 2003
Website
thompsoninvest.com
Custodians
CHARLES SCHWAB & CO., INC., NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • Investment Companies69.62%
  • HNWI22.09%
  • Pension & Profit Sharing Plans3.46%
  • Individuals2.57%
  • Charitable Organizations2.25%
Services
Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

Thompson Investment Management, Inc. is a corporation registered with the SEC in 2003 and owned by an individual. The firm serves both individual and family clients as well as institutional accounts, providing portfolio management across several client types and pension consulting services. Its fee arrangements include asset-based percentage fees and fixed-fee engagements. Thompson does not position itself as a capital allocator and is not marked as an active ESG investor. Advisory capabilities listed include discretionary portfolio management for individuals and small businesses, investment companies, and other businesses or institutions, along with pension consulting. The firm is not identified as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 58%, Public Funds/Mutual Funds 32%, Investment Grade Corp Bonds 6%, Cash & Cash Equivalents 2%, US Government Bonds 1%, Private Funds 1%58%
  • Exchange Traded Equities58%
  • Public Funds/Mutual Funds32%
  • Investment Grade Corp Bonds6%
  • Cash & Cash Equivalents2%
  • US Government Bonds1%

Owners & executives

3 of 3
  • James Evans

    James Evans

    Chief Investment Officer, Principal, Portfolio ManagerCRD 4376560

  • Jason Stephens

    Jason Stephens

    CEO, President, Principal, Portfolio ManagerCRD 4688671

  • Colleen Donnelly

    Colleen Donnelly

    Chief Financial OfficerCRD 7240351

Contacts

3 of 4
  • Morgan Mueller

    Morgan Mueller

    ​Retirement Plan SpecialistCRD 5904964

  • John Thompson

    John Thompson

    Portfolio ManagerCRD 4390005

  • Penny Hubbard

    Vice PresidentCRD 7244712

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 112

Active vs passive

$39.4M in ETFs

Passive

98%

$38.5M

Active

2%

$946K

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE US AGGREGATE BOND ETF (AGG)BlackRockPassiveIntermediate Core Bond$5.6M56,39514.17%
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Location

Primary office

Madison, WI

Dane

Location

Madison, WI

Headquartered in Madison, WI, anchoring the Madison-Janesville-Beloit, WI metro in the Midwest.

Metro area
Madison-Janesville-Beloit, WI
Region
Midwest
County
Dane
Address
1255 Fourier Dr
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth