Thompson Rubinstein Investment Management Inc (Portland)

Thompson Rubinstein Investment Management Inc is a large advisory firm based in Portland. It manages $291.2 million of regulatory assets for 82 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Oregon and Washington.

Thompson Rubinstein Investment Management provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Thompson Rubinstein Investment Management: assets under management

The assets under management (AUM) of Thompson Rubinstein Investment Management Inc is $291.2 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -80% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $291.2 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.55 million each.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is state and local bonds, which make up 3% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Thompson Rubinstein Investment Management Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Thompson Rubinstein Investment Management serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Thompson Rubinstein Investment Management is high net worth individuals with 8 clients and $205.75 million of assets under management. Among the 10 most similar advisory firms, Thompson Rubinstein Investment Management has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $291.2 million for 55 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Thompson Rubinstein Investment Management doesn't advise any private funds.

Careers at Thompson Rubinstein Investment Management Inc

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Allan Rubinstein	President, secretary & chief compliance officer	1 Jun 1979	75% - 100%	406630
Fay Leon Thompson	Chairman of the board, secretary & director	1 Jun 1979	50% - 75%	4334217
Gretchen Krand	Vice president, portfolio manager	1 Sep 1988	Other	4334283
Gretchen Krane	Vice president, portfolio manager	1 Sep 1988	Other	4334283
John Harvey Coulter	Vice president, portfolio manager	1 Mar 2000	Other	4334357
John H. Coulter	Vice president, portfolio manager	1 Mar 2000	Other	4334357
David M. Crow	Vice president, portfolio manager	1 Apr 2002	Other	4514596
David Mize Crow	Vice president, portfolio manager	1 Apr 2002	Other	4514596

Based in Portland

The principal office where Thompson Rubinstein Investment Management Inc performs its advisory services is located at 715 Sw Morrison Suite 604, Portland, OR 97205 3102, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 503-224-1488 or by fax 503-224-6603. The normal business hours are 6:30 am - 2:00 pm on Monday - Friday.