Thompson Capital Files 13F-NT, Holdings Reported by Brookstone Capital
Thompson Capital Management, LLC
Filing Summary
Thompson Capital Files 13F-NT Notice
Company: Thompson Capital Management, LLC Form: 13F-NT | Filed: 2025-10-14 Significance: Low
Filer: Thompson Capital Management, LLC Title: Investment Manager
Transaction: • Type: Notice Filing • Details: This filing indicates that the filer's holdings are reported by another manager and contains no specific transaction data.
Key Insight: This is an administrative notice (13F-NT) stating that Thompson Capital Management's reportable securities are included in the 13F-HR filing of Brookstone Capital Management. It does not disclose any new positions or trades.
Market Context: Notice filings are common for clarifying reporting responsibilities between investment managers and have no direct impact on the market or individual securities.
This is PUBLIC SEC data for educational purposes. Not investment advice.
Comprehensive Analysis
SEC Filing Analysis: Thompson Capital Management, LLC
Executive Summary
- Trading Significance: Low
- Key Takeaway: This is a Form 13F-NT (Notice) filing, which is an administrative declaration that the filer's holdings are being reported by another investment manager. It contains no portfolio details.
- Market Impact: Neutral. This type of filing has no direct market impact as it does not disclose any new positions, buys, or sells.
Filer Information
| Field | Value |
|---|---|
| Company | Thompson Capital Management, LLC |
| Ticker Symbol | null |
| CIK | 0001930986 |
| Type | Investment Manager |
Filing Details
| Field | Value |
|---|---|
| Form Type | 13F-NT |
| Filing Date | 2025-10-14 |
| Period of Report | 2025-09-30 |
| Accession Number | 0001172661-25-004285 |
Transaction Details
This is a notice filing and does not contain any transaction or holdings data. The purpose is to state that the securities that would otherwise be reported by Thompson Capital Management, LLC are instead being reported by another manager.
| Field | Value |
|---|---|
| Transaction Type | Not Applicable |
| Security Type | Not Applicable |
| Shares Involved | Not Applicable |
| Total Value | Not Applicable |
Filing Analysis
Purpose of a 13F-NT Filing
- Direction: Neutral
- Reasoning: A 13F-NT (Notice) is filed by an institutional investment manager when all of its reportable securities are included in the Form 13F-HR (Holdings Report) of another manager. This avoids duplicate reporting. In this case, Thompson Capital Management, LLC is declaring that its holdings are reported by Brookstone Capital Management (CIK: 0001599584).
Volume & Sentiment
- Expected Volume Impact: None. The filing is purely informational and administrative.
- Sentiment Indicator: Neutral. It provides no bullish or bearish signals.
Investment Insights
Key Takeaways
- Administrative Filing: This is not a substantive filing that reveals investment strategy or specific holdings. Its significance is purely administrative.
- Manager Relationship: It highlights a reporting relationship between Thompson Capital Management, LLC and Brookstone Capital Management. Investors interested in Thompson's holdings should look at Brookstone's 13F-HR filing.
- No Actionable Data: There is no actionable trading information, position changes, or new holdings to analyze from this document.
Contextual Analysis
Filing Context
This filing is a standard procedure under Section 13(f) of the Securities Exchange Act of 1934. It ensures that the SEC has a clear record of which manager is responsible for reporting a specific set of assets, thereby preventing both omissions and double-counting of institutional holdings.
Company Context
Thompson Capital Management, LLC is an investment management firm. By filing a 13F-NT, it indicates it may be acting as a sub-advisor or has an arrangement where a primary manager (Brookstone Capital Management) handles the consolidated SEC reporting.
Risk Assessment
Risk Level: Low
Risk Factors
- There are no risks associated with the content of this filing itself, as it is a standard administrative notice.
Market Considerations
- This filing will be ignored by the market. The focus for institutional holdings data would be on the corresponding 13F-HR filed by Brookstone Capital Management.
IMPORTANT DISCLAIMER: This analysis is for informational purposes only and is not intended as investment advice. The information presented is based on publicly available SEC filings and should not be construed as a recommendation to buy, sell, or hold any securities. Past performance does not guarantee future results. All investments carry risk, including the potential loss of principal. Please consult with a qualified financial advisor before making any investment decisions.
Analysis generated on 2025-10-14 | Data source: SEC EDGAR
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Important Disclaimer
This content is drawn from public SEC filings and may contain errors. It is for informational purposes only and is not investment, legal, or tax advice.
Nothing here is a recommendation to buy, sell, or hold any security. Do your own due diligence.