TOM JOHNSON INVESTMENT MANAGEMENT, LLC
Adviser information for TOM JOHNSON INVESTMENT MANAGEMENT, LLC last updated from Form ADV on March 27th, 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 | DECEMBER |
| Legal Location | Oklahoma, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 5,627 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 5,627 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,712 | $521.7M |
| HNW Individuals | 1,751 | $836.3M |
| 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 | 21 | $15.3M |
| Charitable organizations | 53 | $79.2M |
| 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 | 90 | $53.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5627 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.1B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| LPL MANAGER SELECT ACCOUNT PROGRAM | LPL FINANCIAL LLC |
| ENVESTNET PREMIER ASSET MANAGEMENT PROGRMAN, ENVESTNET THIRD PARTY MODELS PROGRAM | ENVESTNET PMC |
| INVESTMENT ADVISORY SERVICES | SUMMIT FINANCIAL WEALTH ADVISORS |
| MANAGED ACCOUNT CONSULTING PROGRAM | UBS FINANCIAL SERVICES INC. |
| PERSONALIZED UMA | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| FIDELITY MANAGED ACCOUNT XCHANGE | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
Principal Office
201 ROBERT S. KERR, SUITE 510OKLAHOMA CITY
OK
United States
Monday - Friday, 8:00AM - 4:00PM
Tel: 405-236-2111, Fax: 405-236-2008
Websites
Chief Compliance Officer
LORI A. CALFY
SENIOR VICE PRESIDENT
201 ROBERT S. KERR STE 510
OKLAHOMA CITY
OK
United States
Tel:
405-236-2111
Fax:
405-236-2008
L*****@*******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PARRY, RICHARD, HOWORTH | Individual | – | MEMBER, SOLE TRUSTEE OF THE RICHARD H. PARRY LIVING TRUST, PRESIDENT & CIO | 07/2010 | > 75% |
| CALFY, LORI, ANN | Individual | – | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 09/2005 | < 5% |