RIA Intel›Advisers›North Carolina›THOMPSON FINANCIAL SERVICES, INC.

THOMPSON FINANCIAL SERVICES, INC.

Advisory

STATESVILLE, NC

Data as of Apr 28, 2026 · Source: SEC Form ADV

Average account

$276K

across 161 accounts

AUM per adviser

$44M

1 advisers

Source: SEC Form ADV. Figures as filed Apr 28, 2026.

Total AUM

$44M

1-Year AUM Growth

—

3-Year CAGR

—

Employees

1

Assets Under Management

Total AUM$44M

Discretionary AUM$44M

Non-Discretionary AUM$315K

Discretionary %99.3%

Total Clients103

Team

Total Employees1

Investment Advisers1

Employee Growth (1Y)—

Registration

SEC RegisteredNo

Exempt ReportingNo

Legal StructureCorporation

Fiscal Year EndDecember

Operates InNC

Succession Risk

The underlying score, the five pillar breakdown, and the filing events behind it.

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Peer Benchmarking

The full peer set, and this firm's standing across AUM growth, efficiency, team size and 16 other metrics.

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Owners & Officers

Names, titles, ownership bands and control-person status for each.

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Client Demographics

103 clients

46 high-net-worth

The full client-type breakdown and the share of AUM each category represents.

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Advisers of similar size in NC

Closest by assets under management. All figures from Form ADV.

LAIN, STEPHEN PAUL

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$45M

OPTIMAL PLANNING LLC

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CADENCE WEALTH PARTNERS, LLC

$43M

VERITAS INVESTMENT ADVISORY GROUP LLC

HENDERSONVILLE, NC

$46M

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