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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

THOMPSON INVESTMENT MANAGEMENT, INC.

CRD 129609

MADISON, WI

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:beb14e24-6eeb-14e3-b012-c1087f39c856

Data as of Sep 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 9
On other graphs: 0
Observed: Nov 17, 2011 to Sep 11, 2026
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: mixed wealth managerderivedprivate_client_share=0.25 fund_share=0.7 institutional_share=0.06 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $3.1BItem 5.F on the latest filing (2026-09-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.1B
Private client RAUM: $761MderivedItem 5.D individuals plus high net worth individuals
Private client share: 25%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $514Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 17
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 941
Individual clients: 288
High net worth clients: 153
Custody, client assets: $111M
SEC number: 801-62562
CIK: 1277279
CRD: 129609
Filings on the tape: 27
First filed: Nov 17, 2011
Latest filed: Sep 11, 2026
Organised: Corporation, DE
Website: thompsonim.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
JOHN WALTER THOMPSON	Chartered Financial Analyst	MADISON, WI	22	42	1	no
Colleen E Donnelly	n/a	MADISON, WI	6	23	n/a	no
MORGAN CURTIS MUELLER	Chartered Financial Analyst	MADISON, WI	2	16	n/a	no
JAMES THOMAS EVANS	Chartered Financial Analyst	MADISON, WI	2	26	1	no
Daniel Bagin	Chartered Financial Analyst	MADISON, WI	1	10	n/a	no
JASON LEE STEPHENS	Chartered Financial Analyst	MADISON, WI	1	23	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
Donnelly, Colleen, E	CHIEF COMPLIANCE OFFICER	Na	yes	05/2022	Sep 11, 2026	Sep 11, 2026
EVANS, JAMES, THOMAS	CHIEF INVESTMENT OFFICER	C	yes	06/2009	Sep 11, 2026	Sep 11, 2026
Hubbard, Penny	VICE PRESIDENT	C	yes	02/2020	Sep 11, 2026	Sep 11, 2026
STEPHENS, JASON, LEE	CHIEF EXECUTIVE OFFICER	C	yes	03/2015	Sep 11, 2026	Sep 11, 2026

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 27, 2026	$3.1B	$3.1B	17	6	0	n/a	n/a
2024	Mar 27, 2025	$2.7B	$2.7B	18	6	0	n/a	n/a
2023	Mar 20, 2024	$2.1B	$2.1B	18	5	0	n/a	n/a
2022	Mar 23, 2023	$2.4B	$2.4B	19	6	0	n/a	n/a
2021	Mar 25, 2022	$3.4B	$3.4B	21	6	0	n/a	n/a
2020	Mar 30, 2021	$3.0B	$3.0B	18	6	0	n/a	n/a
2019	Mar 27, 2020	$4.6B	$4.6B	18	5	0	n/a	n/a
2018	Mar 22, 2019	$4.2B	$4.2B	18	6	0	n/a	n/a
2017	Mar 21, 2018	$3.4B	$3.4B	17	5	0	n/a	n/a
2016	Mar 28, 2017	$2.8B	$2.8B	17	5	n/a	n/a	n/a
2015	Mar 16, 2016	$3.1B	$3.1B	18	5	n/a	n/a	n/a
2014	Mar 17, 2015	$4.2B	$4.2B	18	5	n/a	n/a	n/a
2013	Mar 18, 2014	$3.0B	$3.0B	18	5	n/a	n/a	n/a
2012	Mar 11, 2013	$1.8B	$1.8B	17	5	n/a	n/a	n/a
2011	Mar 6, 2012	$1.1B	$1.1B	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	2	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	$3.1B	$2.7B	16.0%	$2.4B	8.3%	17	18	0	0

Relationships

Registered with (8)

← JASON LEE STEPHENSAdvisorregistration: current employment
Apr 2, 2025 to presentfactForm ADV
← Daniel BaginAdvisorregistration: current employment
Mar 25, 2025 to presentfactForm ADV
← JAMES THOMAS EVANSAdvisorregistration: current employment
Mar 5, 2024 to presentfactForm ADV
← MORGAN CURTIS MUELLERAdvisorregistration: current employment
Feb 20, 2024 to presentfactForm ADV
← Colleen E DonnellyAdvisorregistration: current employment
May 23, 2020 to presentfactForm ADV
← JOHN WALTER THOMPSONAdvisorregistration: current employment
Jan 12, 2004 to presentfactForm ADV
← BRIAN KEITH DONLEYAdvisorregistration: previous registration
Mar 30, 2006 to Nov 23, 2009factForm ADV
← THOMAS FRANCIS DUNNAdvisorregistration: previous registration
Jan 12, 2004 to Feb 4, 2009factForm ADV

Controls (4)

← EVANS, JAMES, THOMASOwnerCHIEF INVESTMENT OFFICER, ownership code C, individual
Nov 17, 2011 to Mar 20, 2024factForm ADV
← STEPHENS, JASON, LEEOwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Nov 17, 2011 to Mar 20, 2024factForm ADV
← Donnelly, Colleen, EOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 10, 2022 to Mar 20, 2024factForm ADV
← Hubbard, PennyOwnerVICE PRESIDENT, ownership code C, individual
Mar 27, 2020 to Mar 20, 2024factForm ADV

Dated events

Occurred
Mar 23, 2023
Regulatory AUM changed
Thompson Investment Management, Inc. reported RAUM $2.4B, down 28% from $3.4B (2022-06-10 to 2023-03-23)
Form ADVobserved 5 days ago
$-946M
Occurred
Jun 10, 2022
Control person joined
E Colleen Donnelly (Chief Compliance Officer) appeared on Schedule A of Thompson Investment Management, Inc.
Form ADVobserved 5 days ago
Occurred
Jun 10, 2022
Control person left
Beth Dara Biederman (Chief Compliance Officer) no longer on Schedule A of Thompson Investment Management, Inc. (listed 2022-03-25, absent 2022-06-10)
Form ADVobserved 5 days ago
Occurred
Mar 25, 2022
Control person left
Susan Nedra Pierce (Chief Compliance Officer) no longer on Schedule A of Thompson Investment Management, Inc. (listed 2021-03-30, absent 2022-03-25)
Form ADVobserved 5 days ago
Occurred
Mar 25, 2022
Control person joined
Beth Dara Biederman (Chief Compliance Officer) appeared on Schedule A of Thompson Investment Management, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 30, 2021
Regulatory AUM changed
Thompson Investment Management, Inc. reported RAUM $3.0B, down 35% from $4.6B (2020-06-30 to 2021-03-30)
Form ADVobserved 5 days ago
$-1.6B
Occurred
Mar 27, 2020
Control person joined
Penny Hubbard (Vice President) appeared on Schedule A of Thompson Investment Management, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 27, 2020
Control person left
Walter John Thompson (President) no longer on Schedule A of Thompson Investment Management, Inc. (listed 2019-08-20, absent 2020-03-27)
Form ADVobserved 5 days ago
Occurred
Mar 22, 2019
Regulatory AUM changed
Thompson Investment Management, Inc. reported RAUM $4.2B, up 25% from $3.4B (2018-03-22 to 2019-03-22)
Form ADVobserved 5 days ago
$853M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:beb14e24-6eeb-14e3-b012-c1087f39c856
First observed: Nov 17, 2011
Last observed: Sep 11, 2026 9 days 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 INVESTMENT MANAGEMENT, INC.

CRD 129609

MADISON, WI

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:beb14e24-6eeb-14e3-b012-c1087f39c856

Data as of Sep 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:46 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOHN WALTER THOMPSON

Chartered Financial Analyst

MADISON, WI

Colleen E Donnelly

n/a

MADISON, WI

n/a

MORGAN CURTIS MUELLER

Chartered Financial Analyst

MADISON, WI

n/a

JAMES THOMAS EVANS

Chartered Financial Analyst

MADISON, WI

Daniel Bagin

Chartered Financial Analyst

MADISON, WI

n/a

JASON LEE STEPHENS

Chartered Financial Analyst

MADISON, WI

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Donnelly, Colleen, E

CHIEF COMPLIANCE OFFICER

yes

05/2022

Sep 11, 2026

EVANS, JAMES, THOMAS

CHIEF INVESTMENT OFFICER

yes

06/2009

Sep 11, 2026

Hubbard, Penny

VICE PRESIDENT

yes

02/2020

Sep 11, 2026

STEPHENS, JASON, LEE

CHIEF EXECUTIVE OFFICER

yes

03/2015

Sep 11, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$3.1B

n/a

2024

Mar 27, 2025

$2.7B

n/a

2023

Mar 20, 2024

$2.1B

n/a

2022

Mar 23, 2023

$2.4B

n/a

2021

Mar 25, 2022

$3.4B

n/a

2020

Mar 30, 2021

$3.0B

n/a

2019

Mar 27, 2020

$4.6B

n/a

2018

Mar 22, 2019

$4.2B

n/a

2017

Mar 21, 2018

$3.4B

n/a

2016

Mar 28, 2017

$2.8B

n/a

2015

Mar 16, 2016

$3.1B

n/a

2014

Mar 17, 2015

$4.2B

n/a

2013

Mar 18, 2014

$3.0B

n/a

2012

Mar 11, 2013

$1.8B

n/a

2011

Mar 6, 2012

$1.1B

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

$3.1B

$2.7B

16.0%

$2.4B

8.3%