Thompson Financial Transitions

The firm works with corporate executives, founders, and early employees who are approaching a liquidity event — typically an IPO, a merger close, or a secondary block sale. These clients often hold more than sixty percent of their net worth in a single publicly traded or pre-IPO stock. Thompson Financial Transitions concentrates on the period immediately surrounding that equity conversion.

The firm designs Rule 10b5-1 trading plans, hedging strategies using options or exchange funds, and multi-year divestiture schedules that seek to balance tax minimization with risk reduction. The planning typically begins twelve to eighteen months before a lockup expiration or a planned exit. The goal is to solve for after-tax proceeds and sustainable withdrawal rates rather than to maximize a single exit price.

The firm can serve as an ongoing outsourced chief investment officer but does not require permanent discretionary control. Some clients remain with the firm's portfolio management group indefinitely; others use Thompson Financial Transitions as a bridge to building a single-family office or moving to a permanent multi-family-office platform. The firm's advisory agreements are structured to accommodate either path.

Thompson Financial Transitions accesses institutional separate accounts, direct co-investment vehicles, and private market funds through its existing relationships with asset managers and private banks. It does not operate an in-house venture capital arm or proprietary fund-of-funds, relying instead on a curated roster of third-party managers for private equity, real estate, and private credit exposure. Direct co-investment opportunities are sourced through the firm's network of law firms and corporate executives.

Thompson Financial Transitions operates as a registered investment advisor that performs a function most commonly associated with single-family offices — managing the sudden creation of family-office-scale wealth. Structurally it is a fiduciary RIA serving multiple unrelated clients, not a single-family entity, though the service model closely resembles the first-year function of a newly formed family office.