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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

THOMPSON CAPITAL MANAGEMENT, LLC

CRD 300993

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:6f3cb423-94a7-4e37-4a4b-7a1fe9eadad7

Data as of Feb 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 8
On other graphs: 0
Observed: Mar 5, 2019 to Feb 13, 2026
19 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: mixed wealth managerderivedprivate_client_share=0.45 fund_share=0.55 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $200MItem 5.F on the latest filing (2026-02-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $190M
Private client RAUM: $89.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 45%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $66.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 221
Individual clients: 11
High net worth clients: 69
SEC number: 801-114939
CRD: 300993
Filings on the tape: 19
First filed: Mar 5, 2019
Latest filed: Feb 13, 2026
Organised: Limited Liability Company, IL
Website: thompsoncm.com

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
MICHAEL ANTHONY THOMPSON	Chartered Financial Analyst	INDIAN HEAD PARK, IL	7	25	2	no
DAVID MATTHEW THOMPSON	Chartered Financial Analyst	INDIAN HEAD PARK, IL	7	14	2	no
THOMAS HINES	Chartered Financial Analyst	INDIAN HEAD PARK, IL \| Crystal Lake, IL	5	33	4	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
THOMPSON, DAVID, MATTHEW	Member	C	yes	02/2019	Mar 5, 2019	Aug 21, 2024
THOMPSON, MICHAEL, ANTHONY	MEMBER/CCO	C	yes	02/2019	Mar 5, 2019	Aug 21, 2024
THOMPSON, DAVID, MICHAEL	NON-OPERATIONAL PARTNER	B	no	02/2019	Feb 4, 2022	Aug 21, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
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
2025	Feb 13, 2026	$200M	$190M	3	3	2	n/a	n/a
2024	Mar 5, 2025	$183M	$172M	3	3	2	n/a	n/a
2023	Mar 5, 2024	$194M	$184M	3	3	1	n/a	n/a
2022	Mar 3, 2023	$240M	$233M	3	3	1	n/a	n/a
2021	Mar 31, 2022	$416M	$416M	3	3	1	n/a	n/a
2020	Mar 8, 2021	$211M	$211M	2	2	0	n/a	n/a
2019	Mar 30, 2020	$92.0M	$92.0M	2	2	0	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	$200M	$183M	9.3%	$240M	-5.9%	3	3	2	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KAIZEN ADVISORY, LLC	2	May 16, 2019	May 14, 2019	WHEATON, IL	Team lift out	Other	100.0%

Relationships

Registered with (3)

← THOMAS HINESAdvisorregistration: current employment
Apr 21, 2021 to presentfactForm ADV
← DAVID MATTHEW THOMPSONAdvisorregistration: current employment
May 14, 2019 to presentfactForm ADV
← MICHAEL ANTHONY THOMPSONAdvisorregistration: current employment
Apr 2, 2019 to presentfactForm ADV

Controls (2)

← THOMPSON, MICHAEL, ANTHONYOwnerMEMBER/CCO, ownership code C, individual
Mar 5, 2019 to Aug 21, 2024factForm ADV
← THOMPSON, DAVID, MATTHEWOwnerMEMBER, ownership code C, individual
Mar 5, 2019 to Aug 21, 2024factForm ADV

Owns (1)

← THOMPSON, DAVID, MICHAELOwnerNON-OPERATIONAL PARTNER, ownership code B, individual
Feb 4, 2022 to Aug 21, 2024factForm ADV

Moved with (1)

← KAIZEN ADVISORY, LLCRegistered adviser2 advisors, team lift out, same day
May 16, 2019 to May 14, 2019factForm ADV

Dated events

Occurred
Mar 3, 2023
Regulatory AUM changed
Thompson Capital Management, Llc reported RAUM $240.3M, down 42% from $416.0M (2022-09-26 to 2023-03-03)
Form ADVobserved 5 days ago
$-176M
Occurred
Mar 31, 2022
Regulatory AUM changed
Thompson Capital Management, Llc reported RAUM $416.0M, up 98% from $210.6M (2022-02-04 to 2022-03-31)
Form ADVobserved 5 days ago
$205M
Occurred
Feb 4, 2022
Control person left
Joseph John Hassett (Manager) no longer on Schedule A of Thompson Capital Management, Llc (listed 2021-03-18, absent 2022-02-04)
Form ADVobserved 5 days ago
Occurred
Feb 4, 2022
Control person left
David Groom (Shareholder) no longer on Schedule A of Thompson Capital Management, Llc (listed 2021-03-18, absent 2022-02-04)
Form ADVobserved 5 days ago
Occurred
Aug 12, 2020
Regulatory AUM changed
Thompson Capital Management, Llc reported RAUM $232.7M, up 153% from $92.0M (2020-07-01 to 2020-08-12)
Form ADVobserved 5 days ago
$141M
Occurred
Mar 30, 2020
Control person joined
Joseph John Hassett (Manager) appeared on Schedule A of Thompson Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Mar 30, 2020
Control person joined
David Groom (Shareholder) appeared on Schedule A of Thompson Capital Management, Llc
Form ADVobserved 5 days ago
Occurred
Mar 5, 2019
First Form ADV filing
Thompson Capital Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f3cb423-94a7-4e37-4a4b-7a1fe9eadad7
First observed: Mar 5, 2019
Last observed: Feb 13, 2026 7 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.

THOMPSON CAPITAL MANAGEMENT, LLC

CRD 300993

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:6f3cb423-94a7-4e37-4a4b-7a1fe9eadad7

Data as of Feb 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:48 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL ANTHONY THOMPSON

Chartered Financial Analyst

INDIAN HEAD PARK, IL

DAVID MATTHEW THOMPSON

Chartered Financial Analyst

INDIAN HEAD PARK, IL

THOMAS HINES

Chartered Financial Analyst

INDIAN HEAD PARK, IL | Crystal Lake, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

THOMPSON, DAVID, MATTHEW

Member

yes

02/2019

Mar 5, 2019

Aug 21, 2024

THOMPSON, MICHAEL, ANTHONY

MEMBER/CCO

yes

02/2019

Mar 5, 2019

Aug 21, 2024

THOMPSON, DAVID, MICHAEL

NON-OPERATIONAL PARTNER

02/2019

Feb 4, 2022

Aug 21, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 13, 2026

$200M

$190M

n/a

2024

Mar 5, 2025

$183M

$172M

n/a

2023

Mar 5, 2024

$194M

$184M

n/a

2022

Mar 3, 2023

$240M

$233M

n/a

2021

Mar 31, 2022

$416M

n/a

2020

Mar 8, 2021

$211M

n/a

2019

Mar 30, 2020

$92.0M

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

$200M

$183M

9.3%

$240M

-5.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KAIZEN ADVISORY, LLC

May 16, 2019

May 14, 2019

WHEATON, IL

Team lift out

Other

100.0%