THURSTON SPRINGER ADVISORS
THURSTON SPRINGER ADVISORS, LLC Legal Name
Adviser information for THURSTON SPRINGER ADVISORS last updated from Form ADV on January 26th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 51 |
|---|---|
| Investment Advisory/Research | 51 |
| Registered Broker-Dealer Representatives | 50 |
| Registered State Investment Advisers | 51 |
| Licensed Agents of an Insurance Company | 50 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,859 | $1.4B |
| Non-Discretionary | 0 | $0 |
| Total | 3,859 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,691 | $454.5M |
| HNW Individuals | 301 | $899.5M |
| 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 | $0 |
| Charitable organizations | <5 | $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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 2000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 564.7M |
| Portfolio Manager | 564.7M |
| Both for Same | 564.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| COMPASS ACCOUNT PROGRAM | THURSTON SPRINGER ADVISORS |
Identifiers
| SEC RIA File Number | 801-114256 |
|---|---|
| SEC ERA File Number | 801-114256 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299201 |
| Legal Entity Identifier | None |
Principal Office
9000 KEYSTONE CROSSINGSEVENTH FLOOR
INDIANAPOLIS
IN
United States
Monday - Friday, 9:00 A.M. TO 4:30 P.M.
Tel: 317.581.4000, Fax: 317-581-4014
Chief Compliance Officer
KAREY WILLIAMS
9000 KEYSTONE CROSSING
SEVENTH FLOOR
INDIANAPOLIS
IN
United States
Tel:
317-975-3798
Fax:
317-581-4014
K********@*******************M
(Full email address available in API data)
Regulatory Contact
MATTHEW REYNOLDS
PRESIDENT, CFO
9000 KEYSTONE CROSSING
SEVENTH FLOOR
INDIANAPOLIS
IN
United States
Tel:
317-581-4003
Fax:
317-581-4014
M********@*******************M
(Full email address available in API data)
Industry Affiliates
| BRISTAL LANE | Accountant or accounting firm |
| T.S. PHILLIPS INVESTMENTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THURSTON SPRINGER FINANCIAL | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THURSTON SPRINGER INSURANCE | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TITAK, JAMES, JOHN | Individual | – | CHAIRMAN OF THE BOARD | 10/2018 | < 5% |
| PARKER, RICHARD, WILSON | Individual | – | CEO | 10/2018 | < 5% |
| FINANCIAL SERVICES HOLDINGS, LLC | Domestic Entity | – | SOLE OWNER | 06/2020 | > 75% |
| PARKER, RICHARD, WILSON | Individual | FINANCIAL SERVICES HOLDINGS, LLC | OWNER | 05/2020 | 25-50% |
| TITAK, JAMES, JOHN | Individual | FINANCIAL SERVICES HOLDINGS, LLC | OWNER | 05/2020 | |
| Reynolds, Matthew, Mark | Individual | FINANCIAL SERVICES HOLDINGS, LLC | OWNER | 11/2021 | |
| Williams, Karey, Ann | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| Reynolds, Matthew, Mark | Individual | – | PRESIDENT | 11/2021 | < 5% |