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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

TOMPKINS & CO.

SOUTH LAKEVIEW, LLC, CRD 157240

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:66f15c2d-54f2-e14e-36e3-508a7807e114

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 29, 2011 to Mar 19, 2026
20 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $355MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $15.0M
Private client RAUM: $355MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $355Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3
SEC number: 801-72281
CRD: 157240
Filings on the tape: 20
First filed: Nov 29, 2011
Latest filed: Mar 19, 2026
Organised: Limited Liability Company, CO

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES BENJAMIN TOMPKINS	Chartered Financial Analyst	DENVER, CO	0	30	1	no

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
TOMPKINS, JAMES, BENJAMIN	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	03/2011	Nov 29, 2011	Sep 16, 2024

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
2025	Mar 19, 2026	$355M	$15.0M	1	1	0	n/a	n/a
2024	Apr 2, 2025	$390M	$25.0M	1	1	0	n/a	n/a
2023	Mar 28, 2024	$318M	$23.0M	1	1	0	n/a	n/a
2022	Mar 29, 2023	$236M	$15.0M	1	1	0	n/a	n/a
2021	Oct 25, 2022	$310M	$10.0M	1	1	0	n/a	n/a
2020	Mar 18, 2021	$390M	$31.0M	1	1	0	n/a	n/a
2019	Apr 9, 2020	$382M	$27.0M	1	1	0	n/a	n/a
2018	Mar 13, 2019	$357M	$14.0M	1	1	1	n/a	n/a
2017	Mar 19, 2018	$406M	$27.0M	1	1	1	n/a	n/a
2016	Mar 20, 2017	$500M	$25.0M	1	1	n/a	n/a	n/a
2015	Mar 8, 2016	$510M	$15.0M	1	1	n/a	n/a	n/a
2014	Feb 24, 2015	$560M	$24.0M	1	1	n/a	n/a	n/a
2013	Mar 11, 2014	$490M	$30.0M	1	1	n/a	n/a	n/a
2012	Mar 5, 2013	$408M	$28.0M	1	1	n/a	n/a	n/a
2011	Feb 13, 2012	$325M	$17.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$355M	$390M	-9.0%	$236M	14.6%	1	1	0	0

Relationships

Registered with (1)

← JAMES BENJAMIN TOMPKINSAdvisorregistration: previous registration
Apr 28, 2011 to Dec 31, 2017factForm ADV

Controls (1)

← TOMPKINS, JAMES, BENJAMINOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 29, 2011 to Sep 16, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66f15c2d-54f2-e14e-36e3-508a7807e114
First observed: Nov 29, 2011
Last observed: Mar 19, 2026 6 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.

TOMPKINS & CO.

SOUTH LAKEVIEW, LLC, CRD 157240

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:66f15c2d-54f2-e14e-36e3-508a7807e114

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES BENJAMIN TOMPKINS

Chartered Financial Analyst

DENVER, CO

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

TOMPKINS, JAMES, BENJAMIN

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

03/2011

Nov 29, 2011

Sep 16, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$355M

$15.0M

n/a

2024

Apr 2, 2025

$390M

$25.0M

n/a

2023

Mar 28, 2024

$318M

$23.0M

n/a

2022

Mar 29, 2023

$236M

$15.0M

n/a

2021

Oct 25, 2022

$310M

$10.0M

n/a

2020

Mar 18, 2021

$390M

$31.0M

n/a

2019

Apr 9, 2020

$382M

$27.0M

n/a

2018

Mar 13, 2019

$357M

$14.0M

n/a

2017

Mar 19, 2018

$406M

$27.0M

n/a

2016

Mar 20, 2017

$500M

$25.0M

n/a

2015

Mar 8, 2016

$510M

$15.0M

n/a

2014

Feb 24, 2015

$560M

$24.0M

n/a

2013

Mar 11, 2014

$490M

$30.0M

n/a

2012

Mar 5, 2013

$408M

$28.0M

n/a

2011

Feb 13, 2012

$325M

$17.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$355M

$390M

-9.0%

$236M

14.6%