TOMPKINS & CO.

SOUTH LAKEVIEW, LLC Legal Name

Adviser information for TOMPKINS & CO. last updated from Form ADV on March 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	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Colorado, United States

Employees

Total Number of Employees	1
Investment Advisory/Research	1
Registered Broker-Dealer Representatives	1
Registered State Investment Advisers	0
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	2	$23.0M
Non-Discretionary	1	$295.0M
Total	3	$318.0M

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	<5	$318.0M
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	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	0	$0
Other	0	$0

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

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation	% of AUM

Identifiers

SEC RIA File Number	801-72281
SEC ERA File Number	801-72281
SEC CIK Numbers	None
SEC CRD Numbers	157240
Legal Entity Identifier	None

Principal Office

2635 S. SAINT PAUL ST.
DENVER
CO
United States

Monday - Friday, BY APPOINTMENTS

Tel: 303-804-0339, Fax: 303-804-0339

Websites

www.linkedin.com/in/james-b-tompkins-cfa-29930715/

Chief Compliance Officer

JAMES B. TOMPKINS

MANAGING MEMBER

2635 S. SAINT PAUL ST.

DENVER

United States

Tel: 303 804 0339

J**********@********M

(Full email address available in API data)

Regulatory Contact