Thoma Capital Management LLC (Towson)

Name: Thoma Capital Management LLC
Address: 401 Washington Ave, Towson, MD, 21204
Telephone: 410-823-5442

Thoma Capital Management LLC is a large advisory firm based in Towson. It manages $140.86 million of regulatory assets for 873 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Florida, Maryland, Pennsylvania, Texas, and Virginia.

Thoma Capital Management provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Thoma Capital Management: assets under management

The assets under management (AUM) of Thoma Capital Management LLC is $140.86 million. The firm's AUM has grown by 2% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $136.16 million in discretionary accounts and $4.7 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $172.13 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $57.34 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 46% of the total AUM. The second-largest asset type is exchange traded securities, which make up 26% of the firm’s portfolio. Investments in cash and cash equivalents form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Thoma Capital Management LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Thoma Capital Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Thoma Capital Management is individuals with 241 clients and $68.05 million of assets under management. Among the 9 most similar advisory firms, Thoma Capital Management has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $135.47 million for 278 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Thoma Capital Management doesn't advise any private funds.

Careers at Thoma Capital Management LLC

The company employs 8 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Joseph Taylor	Principal/managing member	1 May 1998	50% - 75%	2758307
Timothy Nicholas Mudd	Principal, member, chief compliance officer	1 Mar 1999	25% - 50%	2521026
Craig Louis Pohl	Senior financial advisor/member	1 Jan 2017	Other	6340619
Katie Barnaba Smith	Director of client services/member	1 Jan 2017	Other	6758110
Katie B Smith	Director of client services/member	1 Jan 2017	Other	6758110

Based in Towson

The principal office where Thoma Capital Management LLC performs its advisory services is located at 401 Washington Ave, Towson, MD 21204, which is also the mailing address of the firm. An additional office of the firm is in Fulton, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 410-823-5442 or by fax 443-327-5999. The normal business hours are 8:30am - 4:30pm on Monday - Friday. You can find more information about the New York firm at thomacap.com.