Broker-dealer firm · Richmond, VA
Thompson Davis Asset Management
Thompson Davis & Co., Inc. · SEC-registered investment adviser · CRD 41353 · SEC 801-120472
At a glance
Thompson Davis Asset Management is an SEC-registered investment adviser based in Richmond, Virginia, with $211 million in regulatory assets under management as of its Form ADV filed September 10, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 294 individual clients. By Form ADV it is a broker-dealer firm, ranked 280th of 391 broker-dealer firms and 11,972nd of 17,210 SEC-registered advisers by assets.
Main office 804-644-6380thompsondavis.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $211M
- Rank among broker-dealer firms
- #280 of 391
- Rank among all SEC RIAs
- #11,972 of 17,210
- Rank in Virginia
- #218 of 300
- Individual clients
- 294
- High-net-worth clients
- 206
- Accounts
- 300
- Discretionary
- 100% of AUM
- Employees
- 9
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- June Elaine AltizerCfo/finop/pfo/poo
- William Dale Jr DavisCEO
- Edward Hunter Jr ThompsonChairman
- Matthew Henry DanielSR. Vice President
- Adam Robert ThalhimerDirector of Research
- Peggy Myers WalzCCO
- Brant Christopher JonesInvestment Advisor
Custody and brokerage
Broker-dealer
Hybrid RIA
Thompson Davis Asset Management is a hybrid RIA: 8 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 206 | $142M | 67% |
| Individuals | 88 | $61M | 29% |
| Pooled investment vehicles | 1 | $4M | 2% |
| Corporations or other businesses | 5 | $4M | 2% |
Private funds
Thompson Davis Asset Management reports 1 private funds with $4M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Thompson Davis Asset Management answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗thompsondavis.com ↗
AtlasMembers
The full record on Thompson Davis Asset Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 154 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Thompson Davis Asset Management manage?
Thompson Davis Asset Management reports $211 million in regulatory assets under management across 300 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 10, 2026.
What kind of firm is Thompson Davis Asset Management?
Thompson Davis Asset Management is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Thompson Davis Asset Management’s clients?
By assets, its largest client types are high-net-worth individuals ($142 million, 206 clients); individuals ($61 million, 88 clients); pooled investment vehicles ($4 million, 1 clients).
Does Thompson Davis Asset Management manage private funds?
Yes. It reports 1 private funds with $4 million in gross assets, including hedge funds.
Does Thompson Davis Asset Management have any disciplinary history?
Thompson Davis Asset Management answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Thompson Davis Asset Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →