{"url":"https://nivawealth.com/firms/thoma-capital-management-120139","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120139","regulatoryAum":310069630,"crd":"120139","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6340619","suffix":null,"lastName":"POHL","firstName":"CRAIG","middleName":"LOUIS"},{"crd":"2758307","suffix":"JR","lastName":"TAYLOR","firstName":"THOMAS","middleName":"JOSEPH"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-02-17","regulatoryAum":205152753,"clients":363,"employees":11,"offices":3},{"filedOn":"2022-07-25","regulatoryAum":271653095,"clients":337,"employees":14,"offices":4},{"filedOn":"2023-07-27","regulatoryAum":245491290,"clients":379,"employees":14,"offices":4},{"filedOn":"2024-03-14","regulatoryAum":192486670,"clients":281,"employees":12,"offices":3},{"filedOn":"2025-03-05","regulatoryAum":263687043,"clients":284,"employees":11,"offices":3},{"filedOn":"2026-08-19","regulatoryAum":310069630,"clients":287,"employees":10,"offices":3}],"secFileNumber":"801-111054","legalName":"Thoma 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January 2017."},{"label":"Katie Smith","detail":"Director of client services/member in the 5% to 10% ownership band and a control person, since January 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Maryland","offices":3,"addresses":[{"street":"401 Jefferson Avenue","city":"Towson","headquarters":true},{"street":"8115 Maple Lawn BLVD","city":"Fulton"},{"street":"5100 Buckeystown Pike","city":"Frederick"}]}],"brochureServices":["business succession planning","education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"410-823-5442","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management 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clients does Thoma Capital Management have?","answer":"Thoma Capital Management has 287 clients and manages $310 million for them, as of August 2026. They include 177 individual clients, 91 high-net-worth individuals, and 19 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Thoma Capital Management offer?","answer":"Thoma Capital Management provides financial planning, portfolio management for individuals and small businesses, business succession planning, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Thoma Capital Management use?","answer":"Thoma Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $251M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Thoma Capital Management have?","answer":"Thoma Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 10 employees, and 7 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Thoma Capital Management invest in?","answer":"At the end of its last fiscal year, Thoma Capital Management’s separately managed accounts held 75% registered funds (mutual funds, ETFs, BDCs), 14% exchange-traded equities, 4% state and local bonds, 4% cash and equivalents, 2% investment grade corporate bonds and 1% high-yield corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Thoma Capital Management?","answer":"Thoma Capital Management’s direct owners are Thomas Taylor (75% or more), Craig Pohl (5% to 10%) and Katie Smith (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 19 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Thoma Capital Management get paid?","answer":"Thoma Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Thoma Capital Management?","answer":"Thoma Capital Management’s main office is at 401 Jefferson Avenue, Towson, MD 21286. Its phone number is 410-823-5442. 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