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RIA / WealthAdvisor37 years in industry

JOHN STEPHENS THOMA

Advisor at ROYAL FUND MANAGEMENT, LLC

LADY LAKE, FL | Richmond, VA

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Search this name across graphsid dfx:ria:f5bf3f22-86c1-bcef-0353-66ffb881de6f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 2, 2003 to Sep 15, 2026

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

Current firm: ROYAL FUND MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 12, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 12, 1989
First registration: Jun 2, 2003
Dual registered: no
IAPD individual key: 1942428

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROYAL FUND MANAGEMENT, LLC	Independent wealth	Aug 26, 2013	n/a	yes	Richmond, VA\|LADY LAKE, FL	Current employment
ARCHER INVESTMENT CORPORATION	Independent wealth	Jan 17, 2013	Aug 2, 2013	no	CARMEL, IN	Previous registration
POSITIVE ALPHA, INC.	n/a	May 22, 2012	Dec 31, 2012	no	TROY, VA	Previous registration
HORNOR, TOWNSEND & KENT, LLC	Independent wealth	Sep 1, 2010	May 11, 2012	no	RICHMOND, VA\|MONTPELIER, VA	Previous registration
H. BECK, INC.	Former SEC adviser	Oct 8, 2003	Oct 1, 2010	no	RICHMOND, VA\|RICHMOND, VA	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jun 2, 2003	Oct 9, 2003	no	RICHMOND, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ARCHER INVESTMENT CORPORATION	ROYAL FUND MANAGEMENT, LLC	Aug 2, 2013	Aug 26, 2013	24	Firm change	Other
POSITIVE ALPHA, INC.	ARCHER INVESTMENT CORPORATION	Dec 31, 2012	Jan 17, 2013	17	Firm change	Other
HORNOR, TOWNSEND & KENT, LLC	POSITIVE ALPHA, INC.	May 11, 2012	May 22, 2012	11	Firm change	Other
H. BECK, INC.	HORNOR, TOWNSEND & KENT, LLC	Oct 1, 2010	Sep 1, 2010	-30	Firm change	Other
OSAIC FA, INC.	H. BECK, INC.	Oct 9, 2003	Oct 8, 2003	-1	Firm change	Other

Relationships

Registered with (6)

→ ROYAL FUND MANAGEMENT, LLCRegistered adviserregistration: current employment
Aug 26, 2013 to presentfactForm ADV
→ ARCHER INVESTMENT CORPORATIONRegistered adviserregistration: previous registration
Jan 17, 2013 to Aug 2, 2013factForm ADV
→ POSITIVE ALPHA, INC.Registered adviserregistration: previous registration
May 22, 2012 to Dec 31, 2012factForm ADV
→ HORNOR, TOWNSEND & KENT, LLCRegistered adviserregistration: previous registration
Sep 1, 2010 to May 11, 2012factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Oct 8, 2003 to Oct 1, 2010factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jun 2, 2003 to Oct 9, 2003factForm ADV

Dated events

No dated event names this entity yet.