SourcingSourcing

CDM FINANCIAL COUNSELING SERVICES, INC.

C46
CRD 126295·SEC 801-112929·NORWICH, CT
AUM
$315.4M
$100M-$500M
Est. Revenue
$3.2M
@ 1% on AUM
Est. EBITDA
$946K
@ 30% margin
Est. Deal Value
$7.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CDM FINANCIAL COUNSELING SERVICES, INC.
CRD
126295
SEC file #
801-112929
EIN
061167271
DBA names
Thames Financial Management

Economics

AUM
$315.4M
AUM band
$100M-$500M
AUM trajectory
'20'26
$125.2M → $315.4M▲ +152%
Client mix
Individuals Other186
Individuals High Net Worth106
Pension Profit Sharing Plans5
Corporations5

Operations

Employees (total)
2
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
5 advisors → 1 advisors▼ -80%
Primary office
NORWICH CT
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
01/19/2026
ADV-W filed at
—
Website
thamesct.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SAWYER, ANDREW, DRAKE
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
SAWYER, ANDREW, DRAKE
BOKOFF, STEVEN, L.
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
THAMESCT.COM
Rdap Domain Creation Date
2021-01-07T17:30:50Z
Rdap Firm Age Years
5
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002107537
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-02-05
Edgar Last Filing Date
2026-04-14
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-04-14
Accession0002085853-26-000369

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1407
Soi Zip Pct 200k Plus
0.0229
Soi Zip Returns 200k Plus
420
Soi Zip Total AGI
1,037,266
Fdic Zip Total Deposits
30,805,694,000
Fdic Zip Branch Count
536
Fdic Zip Top Banks
Dime Bank
Chelsea Groton Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Edgar Addresses
Mailing
457 WEST MAIN STNORWICH, CT 06360
Business
457 WEST MAIN STNORWICH, CT 06360
Edgar EIN
061167271
Edgar Recent Filings
13F-HR2026-04-14 · 0002085853-26-000369
13F-HR2026-02-05 · 0002085853-26-000204
Fdic Zip Branches Raw
Fleet Bank, National AssociationNorwich, CT
Fleet Bank, National AssociationNorwich, CT
Fdic Zip HHI
841.63
Fdic Zip Top Bank Share Pct
17.54
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-01-07T17:30:50Z
Rdap Domain Last Changed
2026-01-02T15:19:36Z
Rdap Nameservers
Ns57.domaincontrol.comNs58.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI67,346
Returns5,230
Stub 2
AGI208,375
Returns5,680
Stub 3
AGI193,566
Returns3,160
Soi Zip Total Business Income
28,067
Soi Zip Total Cap Gains
20,646
Soi Zip Total Dividends
9,999
Soi Zip Total Returns
18,340
Top Owner CRD
4218645
Trust Company Affiliate
No

People (3)

3
SAWYER, ANDREW, DRAKE
IAR · Direct Owner · 62.5%
4218645
BOKOFF, STEVEN, L.
IAR · Direct Owner · 37.5%
4650243
Lindell, Denise, G
Direct Owner · 17.5%
7862927