Michael L. Thompson

RWM CAPITAL

SUGAR LAND, TX 77478

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CRD#: 4880597

Professional summary

Michael L Thompson, who also goes by Michael Lamon Thompson, is a registered financial advisor currently at RWM CAPITAL, LLC located in Sugar Land, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Michael has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Lamon Thompson

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.) Roberts Wealth Management; Investment Related; Sugar Land, TX; Insurance Agency; Insurance Agent; Start Date 03/2023; 80 hours/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael L 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 16, 2023 - Present

RWM CAPITAL, LLC

Office #1: 1650 Highway 6 Suite 250, Sugar Land, TX 77478

RIA

CRD#: 310635

SUGAR LAND, TX

Past

August 8, 2022 - March 2, 2023

STRATEGIC WEALTH INVESTMENT GROUP, LLC

RIA

CRD#: 165474

Houston, TX

Past

January 31, 2022 - April 26, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DENVER, CO

Past

January 31, 2022 - April 26, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

DENVER, CO

Past

August 2, 2017 - November 3, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ENGLEWOOD, CO

Past

August 2, 2017 - November 30, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ENGLEWOOD, CO

Past

April 21, 2008 - June 23, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

LONE TREE, CO

Past

April 21, 2008 - June 23, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

LONE TREE, CO

Past

March 30, 2007 - January 9, 2008

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

DENVER, CO

Past

March 30, 2007 - January 9, 2008

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

DENVER, CO

Past

June 7, 2005 - March 2, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DENVER, CO

Past

March 24, 2005 - March 2, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

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".

RWM CAPITAL, LLC

ROBERTS WEALTH MANAGEMENT, LLC | RWM CAPITAL, LLC

CRD#: 310635 / SEC#: 801-119513

RIA

Registered Investment Advisory firm - (9/21/2020 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

Texas
(5/16/2023)

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

State Security Law Exam

IAR

Series 66

Date: 3/7/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/2005

General Securities Representative Examination

Current Firm

RWM CAPITAL, LLC

ROBERTS WEALTH MANAGEMENT, LLC | RWM CAPITAL, LLC

CRD#: 310635 / SEC#: 801-119513

RIA

Registered Investment Advisory firm - (9/21/2020 Approved)

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Contact information

Main Address

1650 Highway 6 Suite 250, Sugar Land, TX 77478

Mailing Address

2555 Marshall Road Suite C-1, Biloxi, MS 39531

Phone number

(832) 981-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/11/2025)

Regulatory assets under management

Total Number of Accounts	2,096
AUM (Assets Under Management)	$ 161,362,901

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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Advisor Monitoring

Firm Stability Insights

Michael L. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael L Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC WEALTH INVESTMENT GROUP, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RWM CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/8/2005

Current Firm

RWM CAPITAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RWM CAPITAL, LLC

TRUST BUT VERIFY

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