THOMPSON DAVIS ASSET MANAGEMENT

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	New York, United States

Employees

Total Number of Employees	10
Investment Advisory/Research	7
Registered Broker-Dealer Representatives	9
Registered State Investment Advisers	5
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	289	$159.5M
Non-Discretionary	0	$0
Total	289	$159.5M

Clients

Type	Number	RAUM
Individuals	86	$45.3M
HNW Individuals	200	$105.8M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	1	$5.8M
Pension and profit sharing plans	0	$0
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	<5	$2.6M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation	% of AUMFixed feesPerformance-based fees
Other Business Activities	Broker-dealerSELLS RESEARCH TO BD, RIA FIRMS, INV COMPANY

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	0

Portfolio Manager to Program	Sponsor
DIVERSIFIED FUNDS PROGRAM	THOMPSON DAVIS ASSET MANAGEMENT

Identifiers

SEC RIA File Number	801-120472
SEC ERA File Number	801-120472
SEC CIK Numbers	1017284
SEC CRD Numbers	41353
Legal Entity Identifier	None

Principal Office

9030 STONY POINT PKWY, STE 100
RICHMOND
VA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic