David Matthew Thompson

Current Employers

Thompson Capital Management, Llc

Indian Head Park, IL • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2019-05-14

IL RA
APPROVED

Since 2019-05-14

Branch Locations

Indian Head Park, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Kaizen Advisory, Llc	Wheaton	IL	07/2015	03/2019
Thompson Capital Management	Indian Head Park	IL	05/2019	Present
Typhon Capital	Chicago	IL	02/2014	11/2021
Little Harbor Advisors, Llc	Marblehead	MA	01/2020	Present

07/2015 → 03/2019

Kaizen Advisory, Llc

Wheaton, IL
05/2019 → Present

Thompson Capital Management

Indian Head Park, IL
02/2014 → 11/2021

Typhon Capital

Chicago, IL
01/2020 → Present

Little Harbor Advisors, Llc

Marblehead, MA

Previous Registrations

2016-01-13 → 2019-05-16

Kaizen Advisory, Llc

Wheaton, IL
2012-06-18 → 2014-01-16

Advocate Asset Management, Llc

Chicago, IL

Other Businesses

1. Little Harbor Advisors, LLC, Investment-related, 30 Doaks Lane, Marblehead, MA 01945, Position: Portfolio Manager, Trader, Start-01/2020, 80 hours per month spent on this activity during securities trading hours.