Thomas Walls
Thomas Walls is a registered investment advisor at Lombard Advisers Incorporated, based in Plymouth Meeting, PA, with 41 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Investment Management, Retirement Planning. Their firm serves 955 clients with $570M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.70% |
| $1.0M - $3.0M | 1.00% |
| $3.0M - $10.0M | 0.75% |
| $10M+ | 0.75% |
Fees are negotiable and may be lower based on various criteria.
Fee Estimator
Location
600 Germantown Pike, Suite 400, Plymouth Meeting, PA, 19462
Get directionsHistory
Regulatory History (14)
Judgment / Lien
September 2021Judgment / Lien
November 2020Judgment / Lien
July 2019Judgment / Lien
July 2019Judgment / Lien
August 2018Judgment / Lien
September 2017Financial
March 2017Judgment / Lien
September 2016Regulatory
April 2015Judgment / Lien
March 2014Customer Dispute
July 2005Employment Separation After Allegations
September 1988Employment Separation After Allegations
June 1987Customer Dispute
June 1987Other Business Activities
Thomas uses Thomas Walls & Associates for tax purposes and receives passive rental income from an apartment unit via Airbnb since October 2023.
Employment History
Current Registrations
Lombard Advisers Incorporated
Lombard Securities Incorporated
Lombard Securities IncorporatedBroker
Previous Registrations
Sunpoint Securities, INC.Broker
1717 Capital Management CompanyBroker
Janney Montgomery Scott INC.Broker
Dean Witter Reynolds INC.Broker
Mony Securities CORP.Broker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.