THAMES FINANCIAL MANAGEMENT
CDM FINANCIAL COUNSELING SERVICES, INC. Legal Name
Adviser information for THAMES FINANCIAL MANAGEMENT last updated from Form ADV on January 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 288 | $139.0M |
| Non-Discretionary | 265 | $97.8M |
| Total | 553 | $236.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 158 | $23.0M |
| HNW Individuals | 132 | $198.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $5.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 6 | $9.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-112929 |
|---|---|
| SEC ERA File Number | 801-112929 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126295 |
| Legal Entity Identifier | None |
Principal Office
457 WEST MAIN STREETNORWICH
CT
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 860-886-5108, Fax: 860-889-8683
Websites
Chief Compliance Officer
ANDREW D. SAWYER
CFA, VICE PRESIDENT
457 WEST MAIN STREET
NORWICH
CT
United States
Tel:
(860)886-5108
Fax:
(860)889-8683
A*****@********************M
(Full email address available in API data)
Regulatory Contact
STEVEN L. BOKOFF
CPA, CFP, PRESIDENT
457 WEST MAIN STREET
NORWICH
CT
United States
Tel:
8608865108
Fax:
8608898683
S****@******************M
(Full email address available in API data)
Industry Affiliates
| GOLDBLATT BOKOFF LLC | Accountant or accounting firm |
| GOLDBLATT BOKOFF LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOKOFF, STEVEN, L. | Individual | – | PRESIDENT, TREASURER | 01/1996 | 25-50% |
| SAWYER, ANDREW, DRAKE | Individual | – | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT | 06/2020 | 50-75% |
| Lindell, Denise, G | Individual | – | SHAREHOLDER | 01/2024 | 10-25% |