DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Thompson Davis Asset Management
Legal name Thompson Davis & Co., Inc.
Latest filing Sep 10, 2026
First filing on the tape Feb 3, 2012 · 44 filings
SEC status approved since Mar 5, 2021
RAUM
$211M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$203M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.3M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$211M as of Mar 31, 2026
Mar 28, 2012$88.4M then
HNW client RAUM$142M as of Mar 31, 2026
Mar 30, 2018$1.6M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)9 as of Mar 31, 2026
Jan 31, 201319 then
Private funds1 as of Mar 31, 2026
Mar 28, 20121 then
RAUM +2.2% over the last fiscal year+22% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $42.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $691,289derivedHNW RAUM over HNW clients
- Average account
- $704,461derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$142M67%
- Individuals$61.0M29%
- Pooled investment vehicles$4.1M2.0%
- Corporations and businesses$3.8M1.8%
- Individual clients
- 88reported
- HNW clients
- 206reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 300reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.02 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Edward Hunter Thompson | Richmond, Va | Feb 9, 2007 | 42 y | 0 |
| William Dale Davis | Richmond, Va | Feb 9, 2007 | 36 y | 1 |
| Matthew Henry Daniel | Richmond, Va | Oct 15, 2008 | 24 y | 1 |
| Brant Christopher JonesCertified Financial Planner | Richmond, Va | Aug 19, 2013 | 13 y | 1 |
| Adam Robert ThalhimerChartered Financial Analyst | Richmond, Va | Aug 29, 2018 | 24 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Louis G Frates to Ameriprise Financial Services, LLCMay 2, 2022 · RIA to affiliated broker-dealer or bank
- Louis David Dworsky to Morse Capital Partners, LLCOct 30, 2017 · Other
- Michael Donovan Jackson to Phoenix Wealth Advisors Inc.Mar 16, 2016 · Other
- Pamela Jeanne Prescott to Wells Fargo AdvisorsAug 26, 2015 · Other
- Andrews Lord Browne to Ifg Advisory, LLCMar 11, 2013 · Other
- Charles Richard Roberts to Cambridge AdvisorsSep 13, 2007 · Other
- Jesse Franklin Goins to Salem Investment Counselors IncAug 6, 2007 · Other
Joined, latest
- Louis G Frates from Wealthcare Capital Management LLCMar 28, 2019 · RIA to RIA
- Michael Donovan Jackson from Hambledon, LLCJan 21, 2015 · Other
- Louis David Dworsky from Platinum Wealth PartnersAug 19, 2014 · Other
- Brant Christopher Jones from Davenport & Company LLCAug 19, 2013 · Other
- Andrews Lord Browne from Bb&T Asset Management, Inc.Aug 6, 2012 · Other
- Matthew Henry Daniel from RBC Capital Markets, LLCOct 15, 2008 · Other
- Jesse Franklin Goins from RBC Capital Markets, LLCFeb 9, 2007 · Other
- William Dale Davis from RBC Capital Markets, LLCFeb 9, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Seven Hills Capital Partners, LP | Hedge Fund | $5.8M | 12 | Feb 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- William Dale Jr Davis · Ceocontrolsince 07/2002 · owns 25% to 50%
- June Elaine Altizer · Cfo/Finop/Pfo/Poosince 07/2002 · owns 5% to 10%
- Matthew Henry Daniel · Sr. Vice Presidentsince 01/2019 · owns 5% to 10%
- Brant Christopher Jones · Investment Advisorsince 10/2017 · owns less than 5%
- Adam Robert Thalhimer · Director Of Researchsince 07/2018 · owns 10% to 25%
- Edward Hunter Jr Thompson · Chairmansince 07/2002 · owns 10% to 25%
- Peggy Myers Walz · Ccosince 01/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
- Seven Hills Capital Management, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 31, 2026 to Sep 10, 2026
- Private funds · 1 to unsetMar 31, 2026 to Sep 10, 2026
- Succession · false to unsetMar 31, 2026 to Sep 10, 2026
- Corporate clients · 4 to 5Mar 28, 2025 to Mar 31, 2026
- HNW clients · 207 to 206Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $207M to $211MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $137M to $142MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $58.8M to $61.0MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.7M to $4.1MMar 28, 2025 to Mar 31, 2026
- RAUM · $207M to $211MMar 28, 2025 to Mar 31, 2026
- Accounts · 289 to 300Nov 15, 2024 to Mar 28, 2025
- Advisory employees · 7 to 6Nov 15, 2024 to Mar 28, 2025
- BD registered reps · 9 to 8Nov 15, 2024 to Mar 28, 2025
- Corporate clients · 2 to 4Nov 15, 2024 to Mar 28, 2025
- HNW clients · 200 to 207Nov 15, 2024 to Mar 28, 2025
- Individual clients · 86 to 88Nov 15, 2024 to Mar 28, 2025
- Employees · 10 to 9Nov 15, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Nov 15, 2024 to Mar 28, 2025
- Discretionary RAUM · $159M to $207MNov 15, 2024 to Mar 28, 2025
- HNW RAUM · $106M to $137MNov 15, 2024 to Mar 28, 2025
- Individual RAUM · $45.3M to $58.8MNov 15, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $5.8M to $5.7MNov 15, 2024 to Mar 28, 2025
- RAUM · $159M to $207MNov 15, 2024 to Mar 28, 2025
- Wrap assets (manager) · 0.0 to unsetNov 15, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · 0.0 to unsetNov 15, 2024 to Mar 28, 2025
- Assets in custody · unset to 0.0Sep 13, 2024 to Nov 15, 2024
- Custody of client assets · false to trueSep 13, 2024 to Nov 15, 2024
- Corporate clients · 2 to 3May 31, 2024 to Sep 13, 2024
- HNW clients · 200 to 199May 31, 2024 to Sep 13, 2024
- Corporate clients · 3 to 2Sep 13, 2024 to Sep 13, 2024
- HNW clients · 199 to 200Sep 13, 2024 to Sep 13, 2024
- Accounts · 304 to 289Jul 26, 2023 to Mar 27, 2024
- Advisory employees · 8 to 7Jul 26, 2023 to Mar 27, 2024
- Corporate clients · 3 to 2Jul 26, 2023 to Mar 27, 2024
- HNW clients · 225 to 200Jul 26, 2023 to Mar 27, 2024
- Individual clients · 75 to 86Jul 26, 2023 to Mar 27, 2024
- Employees · 11 to 10Jul 26, 2023 to Mar 27, 2024
- State-registered IARs · 6 to 5Jul 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $116M to $159MJul 26, 2023 to Mar 27, 2024
- HNW RAUM · $82.2M to $106MJul 26, 2023 to Mar 27, 2024
Signals
3 dated events
- Louis G Frates left Thompson Davis Asset Management for Ameriprise Financial Services, Llc (registered 2022-05-02)May 2, 2022 · Advisor changed firm · fact
- Thompson Davis Asset Management filed its initial SEC registration (Form ADV)Feb 5, 2021 · First SEC registration · fact
- Thompson Davis Asset Management reported RAUM $58.2M, down 74% from $220.0M (2017-04-03 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/THOMPSON-DAVIS-&-CO.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- THOMPSONDAVIS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-644-6380reportedpublic record, Form ADV, Sep 10, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $42.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026