Thames Financial Management
SEC RegisteredOver 20 Years Experience Helping clients meet their long-term financial goals.
About the firm
Thames Financial Management was founded in 2001 with the objective of helping clients meet their long-term financial goals. The firm is dedicated to providing investment management and strategic wealth planning specific to each client's situation, striving to be a trusted advisor through unbiased opinions designed to achieve long-term investment results.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Services include portfolio management, retirement planning, qualified tuition plans, annuities, mutual funds, certificates of deposit, employee pension plans, other retirement savings plans, life insurance, long-term care, disability and critical illness coverage, health insurance, and group health benefits.
Who they serve
Individual clients seeking financial planning, with deep and meaningful relationships that last for generations.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 186 | $51M |
| High Net Worth Individuals | 106 | $245M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 5 | $8.9M |
| State/Municipal Entities | 0 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
4 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
2 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| $50,000 – $249,999 | 1.00% |
| $250,000 – $3,499,999 | 0.75% |
| > $3,500,000 | 0.00% |
Data as of January 19, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thames Financial Management has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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