Thompson Plumb & Associates Inc (Madison)


Thompson Plumb & Associates Inc is a large advisory firm based in Madison. It manages $1.04 billion of regulatory assets for 662 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Florida, and 7 other states.

Thompson Plumb & Associates provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Thompson Plumb & Associates: assets under management

The assets under management (AUM) of Thompson Plumb & Associates Inc is $1.04 billion. The firm's AUM has grown by 11% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.02 billion in discretionary accounts and $26.91 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.61 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $897.12 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Thompson Plumb & Associates Inc for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Thompson Plumb & Associates Inc

William Steinburg has been acting as President since 1 Jan 2004. Thomas Gerald Plumb joined the executive team most recently as the President And Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
John Walter Thompson President, treasurer 1 Jan 1997 50% - 75% 4390005
Thomas Plumb Vice president 1 Jan 1997 50% - 75% 1732830
Kathryn Lee Norton Vice president 1 May 2001 Other 2528315
Thomas Edward Terry Director 1 Dec 2002 Other 4782255
Thomas Gerald Plumb President and director 1 Jan 2004 75% - 100% 1732830
Clint Opperman Vice president 1 Jan 2004 Other 3014389
Timothy Rock Obrien Vice president 1 Jan 2004 Other 3101937
David Bruce Duchow Vice president 1 Jan 2004 Other 2187062
Connie Redman Vice president and secretary 1 Jan 2004 Other 2273400
Paul Francis Leone General counsel & chief compliance officer 1 Jan 2004 Other 1684732
William Steinburg Director 1 Jan 2004 Other 2621497
George Austin Director 1 Jan 2004 Other 2538301

Based in Madison

The principal office where Thompson Plumb & Associates Inc performs its advisory services is located at 1200 John Q. Hammons Drive, Madison, WI 53717 The mailing address of the firm is P. O. Box 1788, Madison, WI 53701. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 608-824-8800 or by fax 608-824-2101. The normal business hours are 8:00 a.m.-5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.thompsonplumb.com.