Thames Financial Management is an SEC registered investment adviser organized as a corporation with a primary office location in Norwich, CT. Its latest Form ADV filing, dated January 19, 2026, reports $315M in regulatory assets under management, 2 employees, and 593 accounts.
Portfolio management for individuals and small businesses
Fee models offered
2 types reported
Asset based fees
Hourly charges
Sources checked May 13, 2026
Client Coverage Demographics
Top client segmentIndividuals represent 61.6% of total clients.
Top client categories% of clientsClients
1
Individuals
61.6%
186
2
HNWI
35.1%
106
3
Pension Plans
1.7%
5
4
Corporations
1.7%
5
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$315Mas of January 19, 2026
Discretionary60.5%
$191M
60% of total RAUM60.5%
Non-discretionary39.5%
$125M
40% of total RAUM39.5%
Regulatory assets under management are split between discretionary and non-discretionary assets.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$315M
Total Accounts593
10Y AUM Change+$197M (+165.2%)
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees2
Clients per Employee151:1
10Y Employee Change-2 (-50.0%)
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Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
This firm has a multi year gap in available SEC ADV filing history between 2012 and 2018. Charts show the most recent available filing segment under this CRD.
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.