Thames Financial Management
Firm details
- Headquarters
- Norwich, Connecticut
- CRD number
- 126295
- Registered since
- April 23, 2018
- Website
- www.thamesct.com
- Custodians
- FIDELITY DISTRIBUTORS COMPANY LLC
- Fee structure
- Percentage of AUM, Hourly Charges
- Client types
- HNWI77.79%
- Individuals16.09%
- Corporations / Businesses3.3%
- Pension & Profit Sharing Plans2.82%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Thames Financial Management is an independent, privately owned registered investment adviser that registered with the SEC in 2018. The firm serves a mix of individuals and families alongside some institutional clients, providing financial planning and portfolio management targeted at individuals and small businesses. Its fee model combines a percentage-of-AUM charge with the ability to bill hourly for certain services. Thames reports that it does not pursue an ESG-investing mandate, and it is not positioned as a capital allocator or pension consultant.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds48%
- Exchange Traded Equities34%
- US Government Bonds10%
- Cash & Cash Equivalents7%
- Investment Grade Corp Bonds1%
Contacts
3 of 3
Andrew Sawyer
OwnerCRD 4218645
Steven Bokoff
Managing PartnerCRD 4650243
Denise Lindell
ShareholderCRD 7862927
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 46Active vs passive
$123M in ETFs
92%
$113M
0%
$10.3M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $14.1M | 18,534 | 11.47% |
Location
Norwich, CT
New London
Location
Norwich, CT
Headquartered in Norwich, CT, anchoring the Hartford-East Hartford, CT metro in the Northeast.
- Metro area
- Hartford-East Hartford, CT
- Region
- Northeast
- County
- New London
- Address
- 457 W Main St
- Time zone
- ET (UTC-5)
- Office locations
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