Daniel Patrick Thompson

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2014 → Present
  Rbc Capital Markets, Llc
  Indianapolis, IN
• 06/2018 → Present
  City National Bank
  Indianapolis, IN

Previous Registrations

• 2004-10-18 → 2014-10-29
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN
  Indianapolis, IN

Other Businesses

(1) SPORTS BROADCASTER; ADDRESS: PRIVATE RESIDENCE; BUSINESS DESCRIPTION: INDIANA UNIVERSITY SPORTS PROPERTIES/ESPN RADIO/LEARFIELD COMMUNICATION; NOT INVESTMENT RELATED; START DATE: 08/01/2002; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; DUTIES: RADIO PERSONALITY FOR COLLEGE AND HIGH SCHOOL FOOTBALL; HOURS DEVOTED PER WEEK: LESS THAN 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2) INDY SPORTS FOUNDATION; ADDRESS: PRIVATE RESIDENCE; BUSINESS DESCRIPTION: INDIANA UNIVERSITY SPORTS PROPERTIES/ESPN RADIO/LEARFIELD COMMUNICATION; NOT INVESTMENT RELATED; START DATE: 01/01/2005; CAPACITY: BOARD OF DIRECTORS; DUTIES: HOSTING THE OAKEN BUCKET LUNCHEON, WORKING THE ST. PATRICK DAY FESTIVITIES, SUPPORTING AMATEUR SPORTS FOR THE COMMON GOOD OF CENTRAL INDIANA; HOURS DEVOTED PER WEEK: LESS THAN .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .25 (3) TNS PROPERTIES; ADDRESS: PRIVATE RESIDENCE; BUSINESS DESCRIPTION: RENTAL AND INVESTMENT PROPERTIES; NOT INVESTMENT RELATED; START DATE: 10/28/2014; CAPACITY: OWNER-ACTIVE; DUTIES: MANAGEMENT OF INVESTMENT AND RENTAL PROPERTIES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (4) SIGMA NU - WHITE STAR EDUCATION ENDOWMENT; ADDRESS: 450 E 96TH STREET SUITE 200 INDIANAPOLIS, IN 46240; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 12/09/2016; CAPACITY: DIRECTOR; DUTIES: APPROVE SCHOLARSHIP APPLICATIONS AND PROVIDE GUIDANCE TO UPDATE EDUCATIONAL PROGRAMS FOR THE SIGMA NU INDIANA UNIVERSITY CHAPTER; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (5) NAME OF ENTITY: Thompson OZ Holdings LLC; ADDRESS: 15442 Carey Road Carmel, IN 46033; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Real Estate Entity; CAPACITY: Sole Proprietor; START DATE: 12/2019; DUTIES: Owner of real estate holding company; HOURS DEVOTED PER MONTH: 2%; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2; (6) Name: Guerin Catholic High School Address: 15300 N. Carey Road Noblesville, IN 46062 Business Description: High School Football Coach Business is not investment related Projected Start Date: 09/01/20 Capacity: Employee Duties Performed: coaching high school football Devoted to this OBA per Month: 24 Hours Devoted to this OBA during business hours: 0 (7) NAME OF ENTITY: HG Envoy Yeager, Inc. ADDRESS: 5723 Birtz Road Indianapolis, IN, 46216 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Commercial Real Estate - Office Suites CAPACITY: Owner - Passive START DATE: 08/01/21 DUTIES: None, passive real estate investment. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2004-10-14

Other Names

• Daniel Thompson
• Dan Thompson