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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

THOMASPARTNERS, INC.

CRD 104966

BOSTON, MA

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Search this name across graphsid dfx:ria:65f2c2a8-ac33-5512-3c8f-5befcadf0eea

Data as of Feb 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 to Feb 15, 2018
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $15BItem 5.F on the latest filing (2018-02-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $15B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33
Advisory employees: 18
Offices: 7Schedule D 1.F, beyond the principal office
Accounts: 43,468
Custody, client assets: $335M
SEC number: 801-22189
CRD: 104966
Filings on the tape: 27
First filed: Mar 20, 2012
Latest filed: Feb 15, 2018
Organised: Corporation, Massachusetts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BATES, MARLENE, MARIE-LAURE	CHIEF FINANCIAL OFFICER AND DIRECTOR	Na	yes	12/2015	Mar 30, 2016	Feb 15, 2018
DORSKY, THOMAS, HENRY	VICE PRESIDENT AND CHIEF OPERATIONS OFFICER	Na	yes	05/2016	Jul 1, 2016	Feb 15, 2018
DUFFY, ALYSSA	CHIEF LEGAL OFFICER	Na	yes	07/2013	Mar 31, 2015	Feb 15, 2018
GILLESPIE, MICHAEL, EDWARD	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	02/2015	Mar 31, 2015	Feb 15, 2018
MCMAHON, WILLIAM, PATRICK	SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	12/2008	Mar 20, 2012	Feb 15, 2018
OLSON, BRYAN, LARRY	SENIOR VICE PRESIDENT AND DIRECTOR	Na	yes	12/2012	Jan 2, 2013	Feb 15, 2018
QUINN, WILLIAM, F	TREASURER AND DIRECTOR	Na	yes	12/2012	Jan 2, 2013	Feb 15, 2018
THE CHARLES SCHWAB CORPORATION	100% OWNER	E	yes	12/2012	Jan 2, 2013	Feb 15, 2018
THOMAS, GREGORY, NELSON	SENIOR VICE PRESIDENT AND CHIEF INVESTMENT STRATEGIST	Na	yes	06/2001	Mar 20, 2012	Feb 15, 2018
WURSTER, RICHARD, A	CHIEF EXECUTIVE OFFICER	Na	yes	07/2016	Jul 1, 2016	Feb 15, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC	n/a	Other adviser	$1721B	N	yes	n/a
CHARLES SCHWAB INVESTMENT ADVISORY, INC.	n/a	Former SEC adviser	$66B	N	yes	n/a
WINDHAVEN INVESTMENT MANAGEMENT, INC.	n/a	Former SEC adviser	$8.1B	N	yes	n/a
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC.	n/a	No RAUM reported	$0	N	yes	n/a
CHARLES SCHWAB & CO., INC.	n/a	National bd RIA	n/a	N	yes	CA
CHARLES SCHWAB BANK	n/a	n/a	n/a	N	yes	n/a
OPTIONSXPRESS, INC.	n/a	n/a	n/a	N	yes	n/a
SCHWAB WEALTH INVESTMENT ADVISORY, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	1	no
Denver	Co	United States	1	no
LONE TREE	Co	United States	1	no
Raleigh	Nc	United States	1	no
Plano	TX	United States	1	no
Burlington	Vt	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017	$10B	$10B	33	18	n/a	n/a	n/a
2015	Mar 30, 2016	$7.3B	$7.3B	29	18	n/a	n/a	n/a
2014	Mar 31, 2015	$6.6B	$6.6B	27	12	n/a	n/a	n/a
2013	Mar 28, 2014	$4.2B	$4.2B	20	9	n/a	n/a	n/a
2012	Apr 1, 2013	$2.2B	$2.2B	16	8	n/a	n/a	n/a
2011	Mar 20, 2012	$1.8B	$1.7B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$15B	$7.3B	99.6%	$4.2B	51.0%	33	29	7	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CHARLES SCHWAB INVESTMENT ADVISORY, INC	12	Mar 30, 2018	Mar 16, 2018	BOSTON, MA	Firm absorbed	Other	60.0%
WINDHAVEN INVESTMENT MANAGEMENT, INC.	6	Mar 30, 2018	Jun 15, 2017	BOSTON, MA	Channel change	Other	30.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WINDHAVEN INVESTMENT MANAGEMENT, INC.	7	Mar 30, 2018	Jun 26, 2017	BOSTON, MA	Channel change	Other	33.3%

Relationships

Affiliated with (8)

→ CHARLES SCHWAB INVESTMENT MANAGEMENT, INCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CHARLES SCHWAB INVESTMENT ADVISORY, INCRegistered adviserother investment adviser, common control
factForm ADV
→ WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SCHWAB WEALTH ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SCHWAB WEALTH INVESTMENT ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserother investment adviser, broker-dealer, custodian, common control
factForm ADV
← WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
← SCHWAB WEALTH INVESTMENT ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (10)

← GILLESPIE, MICHAEL, EDWARDOwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← QUINN, WILLIAM, FOwnerTREASURER AND DIRECTOR, ownership code NA, individual
Jan 2, 2013 to presentfactForm ADV
← DORSKY, THOMAS, HENRYOwnerVICE PRESIDENT AND CHIEF OPERATIONS OFFICER, ownership code NA, individual
Jul 1, 2016 to presentfactForm ADV
← OLSON, BRYAN, LARRYOwnerSENIOR VICE PRESIDENT AND DIRECTOR, ownership code NA, individual
Jan 2, 2013 to presentfactForm ADV
← MCMAHON, WILLIAM, PATRICKOwnerSENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← THOMAS, GREGORY, NELSONOwnerSENIOR VICE PRESIDENT AND CHIEF INVESTMENT STRATEGIST, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← DUFFY, ALYSSAOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← BATES, MARLENE, MARIE-LAUREOwnerCHIEF FINANCIAL OFFICER AND DIRECTOR, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← WURSTER, RICHARD, AOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jul 1, 2016 to presentfactForm ADV
← THE CHARLES SCHWAB CORPORATIONOwner100% OWNER, ownership code E, domestic entity
Jan 2, 2013 to presentfactForm ADV

Registered with (23)

← JOHN CARL SMITHAdvisorregistration: previous registration
Nov 4, 2016 to Mar 30, 2018factForm ADV
← AMOS WEBSTER ROBINSONAdvisorregistration: previous registration
Jun 30, 2008 to Mar 30, 2018factForm ADV
← Rodney E WhiteAdvisorregistration: previous registration
Feb 6, 2017 to Mar 30, 2018factForm ADV
← TIMOTHY JAMES KOHNAdvisorregistration: previous registration
May 8, 2017 to Mar 30, 2018factForm ADV
← Michael Ray BrozzoAdvisorregistration: previous registration
Sep 2, 2016 to Mar 30, 2018factForm ADV
← Earnest Eldon HubbardAdvisorregistration: previous registration
Nov 14, 2014 to Mar 30, 2018factForm ADV
← Thomas P MillerAdvisorregistration: previous registration
Oct 4, 2013 to Mar 30, 2018factForm ADV
← MICHAEL ANTHONY MORINAdvisorregistration: previous registration
May 30, 2017 to Mar 30, 2018factForm ADV
← WILLIAM PATRICK MCMAHONAdvisorregistration: previous registration
Jul 6, 2001 to Mar 30, 2018factForm ADV
← Deane T AntoniouAdvisorregistration: previous registration
Jun 1, 2017 to Mar 30, 2018factForm ADV
← KELLY JOHNSONAdvisorregistration: previous registration
Jun 15, 2017 to Mar 30, 2018factForm ADV
← David Alexander PooleAdvisorregistration: previous registration
Jan 5, 2010 to Mar 30, 2018factForm ADV
← Mark A MahoneyAdvisorregistration: previous registration
Aug 2, 2011 to Mar 30, 2018factForm ADV
← Brendan Scott ColemanAdvisorregistration: previous registration
Nov 23, 2016 to Mar 30, 2018factForm ADV
← MATTHEW MICHAEL GUGLIEMINIAdvisorregistration: previous registration
Aug 7, 2017 to Mar 30, 2018factForm ADV
← NICOLE EILEEN CALABRESEAdvisorregistration: previous registration
Jun 26, 2017 to Mar 30, 2018factForm ADV
← Lia Ashley WebbAdvisorregistration: previous registration
Jul 7, 2017 to Mar 30, 2018factForm ADV
← Ari Seth WienerAdvisorregistration: previous registration
Jul 18, 2017 to Mar 30, 2018factForm ADV
← Adam G ChaseAdvisorregistration: previous registration
Nov 23, 2016 to Mar 30, 2018factForm ADV
← Richard Andrew WursterAdvisorregistration: previous registration
Dec 6, 2016 to Mar 30, 2018factForm ADV
← GLENN FORREST BROWNAdvisorregistration: previous registration
May 23, 2017 to Jun 8, 2017factForm ADV
← KATHRYN ROBERTS VaughnAdvisorregistration: previous registration
Jul 7, 2005 to Feb 22, 2016factForm ADV
← WILLIAM WYMOND VERITYAdvisorregistration: previous registration
May 21, 2004 to Nov 11, 2015factForm ADV

Moved with (3)

→ CHARLES SCHWAB INVESTMENT ADVISORY, INCRegistered adviser12 advisors, firm absorbed, same day
Mar 30, 2018 to Mar 16, 2018factForm ADV
← WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviser7 advisors, team lift out, same day
Mar 30, 2018 to Jun 26, 2017factForm ADV
→ WINDHAVEN INVESTMENT MANAGEMENT, INC.Registered adviser6 advisors, team lift out, same day
Mar 30, 2018 to Jun 15, 2017factForm ADV

Dated events

Occurred
Feb 15, 2018
Regulatory AUM changed
Thomaspartners, Inc. reported RAUM $14.6B, up 43% from $10.2B (2017-07-18 to 2018-02-15)
Form ADVobserved 4 days ago
$4.4B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65f2c2a8-ac33-5512-3c8f-5befcadf0eea
First observed: Mar 20, 2012
Last observed: Feb 15, 2018 104 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THOMASPARTNERS, INC.

CRD 104966

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:65f2c2a8-ac33-5512-3c8f-5befcadf0eea

Data as of Feb 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BATES, MARLENE, MARIE-LAURE

CHIEF FINANCIAL OFFICER AND DIRECTOR

yes

12/2015

Mar 30, 2016

Feb 15, 2018

DORSKY, THOMAS, HENRY

VICE PRESIDENT AND CHIEF OPERATIONS OFFICER

yes

05/2016

Jul 1, 2016

Feb 15, 2018

DUFFY, ALYSSA

CHIEF LEGAL OFFICER

yes

07/2013

Mar 31, 2015

Feb 15, 2018

GILLESPIE, MICHAEL, EDWARD

VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

02/2015

Mar 31, 2015

Feb 15, 2018

MCMAHON, WILLIAM, PATRICK

SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

12/2008

Mar 20, 2012

Feb 15, 2018

OLSON, BRYAN, LARRY

SENIOR VICE PRESIDENT AND DIRECTOR

yes

12/2012

Jan 2, 2013

Feb 15, 2018

QUINN, WILLIAM, F

TREASURER AND DIRECTOR

yes

12/2012

Jan 2, 2013

Feb 15, 2018

THE CHARLES SCHWAB CORPORATION

100% OWNER

yes

12/2012

Jan 2, 2013

Feb 15, 2018

THOMAS, GREGORY, NELSON

SENIOR VICE PRESIDENT AND CHIEF INVESTMENT STRATEGIST

yes

06/2001

Mar 20, 2012

Feb 15, 2018

WURSTER, RICHARD, A

CHIEF EXECUTIVE OFFICER

yes

07/2016

Jul 1, 2016

Feb 15, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

n/a

Other adviser

$1721B

yes

n/a

CHARLES SCHWAB INVESTMENT ADVISORY, INC.

n/a

Former SEC adviser

$66B

yes

n/a

WINDHAVEN INVESTMENT MANAGEMENT, INC.

n/a

Former SEC adviser

$8.1B

yes

n/a

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC.

n/a

No RAUM reported

yes

n/a

CHARLES SCHWAB & CO., INC.

n/a

National bd RIA

n/a

yes

CHARLES SCHWAB BANK

n/a

yes

n/a

OPTIONSXPRESS, INC.

n/a

yes

n/a

SCHWAB WEALTH INVESTMENT ADVISORY, INC.

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

Denver

United States

LONE TREE

United States

Raleigh

United States

Plano

United States

Burlington

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$10B

n/a

2015

Mar 30, 2016

$7.3B

n/a

2014

Mar 31, 2015

$6.6B

n/a

2013

Mar 28, 2014

$4.2B

n/a

2012

Apr 1, 2013

$2.2B

n/a

2011

Mar 20, 2012

$1.8B

$1.7B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$15B

$7.3B

99.6%

$4.2B

51.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CHARLES SCHWAB INVESTMENT ADVISORY, INC

Mar 30, 2018

Mar 16, 2018

BOSTON, MA

Firm absorbed

Other

60.0%

WINDHAVEN INVESTMENT MANAGEMENT, INC.

Mar 30, 2018

Jun 15, 2017

BOSTON, MA

Channel change

Other

30.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WINDHAVEN INVESTMENT MANAGEMENT, INC.

Mar 30, 2018

Jun 26, 2017

BOSTON, MA

Channel change

Other

33.3%