David M. Thompson

THOMPSON CAPITAL MANAGEMENT

Indian Head Park, IL

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CRD#: 4221116

Professional summary

David Matthew Thompson is a registered financial advisor currently at THOMPSON CAPITAL MANAGEMENT, LLC located in Indian Head Park, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. David has worked at 3 firms and has passed the Series 3 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Little Harbor Advisors, LLC, Investment-related, 30 Doaks Lane, Marblehead, MA 01945, Position: Portfolio Manager, Trader, Start-01/2020, 80 hours per month spent on this activity during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Matthew Thompson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 14, 2019 - Present

THOMPSON CAPITAL MANAGEMENT, LLC

RIA

CRD#: 300993

Indian Head Park, IL

Past

January 13, 2016 - May 16, 2019

KAIZEN ADVISORY, LLC

RIA

CRD#: 171520

WHEATON, IL

Past

June 18, 2012 - January 16, 2014

ADVOCATE ASSET MANAGEMENT, LLC

RIA

CRD#: 118616

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THOMPSON CAPITAL MANAGEMENT, LLC

CRD#: 300993 / SEC#: 801-114939

RIA

Registered Investment Advisory firm - (4/2/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/14/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 3

Date: 12/19/2008

National Commodity Futures Examination

Current Firm

THOMPSON CAPITAL MANAGEMENT, LLC

CRD#: 300993 / SEC#: 801-114939

RIA

Registered Investment Advisory firm - (4/2/2019 Approved)

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Contact information

Main Address

Indian Head Park, IL

Mailing Address

Phone number

(312) 278-1003

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	600
AUM (Assets Under Management)	$ 183,083,134

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David M. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Matthew Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMPSON CAPITAL MANAGEMENT, LLC

KAIZEN ADVISORY, LLC

ADVOCATE ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

THOMPSON CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 3

Date: 12/19/2008

Current Firm

THOMPSON CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THOMPSON CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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