Neal Alexander Thompson

Employer firm

Ep Wealth Advisors CRD 111147

$45.1B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Selection of other advisers
Educational seminars
RETIREMENT PLAN ADVISORY SERVICES & TAX PREPARATION SERVICES

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

Current Employers

Ep Wealth Advisors

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2026-03-13
CA	RA	APPROVED	2026-03-11

AZ RA
APPROVED

Since 2026-03-13
CA RA
APPROVED

Since 2026-03-11

Branch Locations

16430 N Scottsdale Rd Suite150, Scottsdale, AZ 85254 • United States

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • 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
Cambridge Investment Research, Inc	Fairfield	IA	08/2010	01/2018
Cambridge Investment Research Advisors, Inc	Fairfield	IA	08/2010	01/2018
Harbour Investments, Inc	Madison	WI	01/2018	Present
Ep Wealth Advisors, Llc	Scottsdale	AZ	02/2026	Present
Thompson Wealth Management	Scottsdale	AZ	01/2018	02/2026

08/2010 → 01/2018

Cambridge Investment Research, Inc

Fairfield, IA
08/2010 → 01/2018

Cambridge Investment Research Advisors, Inc

Fairfield, IA
01/2018 → Present

Harbour Investments, Inc

Madison, WI
02/2026 → Present

Ep Wealth Advisors, Llc

Scottsdale, AZ
01/2018 → 02/2026

Thompson Wealth Management

Scottsdale, AZ

Previous Registrations

2018-01-12 → 2026-04-01

Harbour Investments, Inc.

Scottsdale, AZ

Madison, WI

Scottsdale, AZ
2010-08-18 → 2018-01-30

Cambridge Investment Research Advisors, Inc.

Scottsdale, AZ

Scottsdale, AZ
2008-02-26 → 2010-08-05

Voya Financial Advisors, Inc.

Greenville, SC

Phoenix, AZ

Other Businesses

Name: Belmont Kitchen & Cocktails Investment Related: No Address: 8876 East Pinnacle Peak Road #100, Scottsdale, Arizona 85255, United States Nature: Restaurant Position: Owner Title: Owner Start Date: 2/15/2025 Hours/Month: 60 Hours devoted during trading hours: Less than 1/week Duties: In charge of company Vision, Leadership Team hiring and oversight. Name: Federal Retirement Services, LLC Investment Related: No Address: 16430 N Scottsdale Rd, Suite 150, Scottsdale, AZ 85254 Nature: Informational seminars focused towards federal employees and how the FERS (Federal Employees Retirement System) benefits work and key considerations for retirement planning. Position: Owner Title: Owner Start Date: March 27, 2026 Hours/Month: 8 Hours devoted during trading hours: 1 Duties: Prepare and deliver educational retirement benefit seminars and workshops for the employees of federal government agency and departments employees