SourcingSourcing

THOMAS LEO ADVISORY, LLC

C41
CRD 159271·SEC 801-112656·MINNEAPOLIS, MN
AUM
$192.7M
$100M-$500M
Est. Revenue
$1.9M
@ 1% on AUM
Est. EBITDA
$578K
@ 30% margin
Est. Deal Value
$4.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
THOMAS LEO ADVISORY, LLC
CRD
159271
SEC file #
801-112656
EIN
—
DBA names
—

Economics

AUM
$192.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$99.9M → $192.7M▲ +93%
Client mix
Individuals Other91
Individuals High Net Worth53
Charitable Organizations1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
MINNEAPOLIS MN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/09/2026
ADV-W filed at
—
Website
thomasleoadvisory.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ARMS, LEO, CHRISTOPHER
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
ARMS, LEO, CHRISTOPHER
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
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
THOMASLEOADVISORY.COM
Rdap Domain Creation Date
2011-05-17T23:17:26Z
Rdap Firm Age Years
15
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-07-07T11:59:59Z
Rdap Domain Last Changed
2025-07-08T21:20:46Z
Rdap Nameservers
Ns75.domaincontrol.comNs76.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
3242008
Trust Company Affiliate
No

People (2)

2
ARMS, LEO, CHRISTOPHER
IAR · Direct Owner · 87.5%
3242008
JOSEPH ROBERT DOLAN
IAR
4264656