SourcingSourcing

THAYER FINANCIAL, L.L.C.

C47
CRD 304729·SEC 801-135029·HICKORY, NC
AUM
$106.4M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$319K
@ 30% margin
Est. Deal Value
$2.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
THAYER FINANCIAL, L.L.C.
CRD
304729
SEC file #
801-135029
EIN
841945560
DBA names
—

Economics

AUM
$106.4M
AUM band
$100M-$500M
AUM trajectory
—
Client mix
Individuals Other72
Individuals High Net Worth45
Pension Profit Sharing Plans8

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
—
Primary office
HICKORY NC
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingEducational Seminars Workshops
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/18/2026
ADV-W filed at
—
Website
linkedin.com/company/thayer-financial-llc(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, KELLY, SHOOK
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SMITH, KELLY, SHOOK
Smith, Robert, Deaton
Solo Advisor Indicator
No
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
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002100981
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-01-12
Edgar Last Filing Date
2026-04-13
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-04-13
Accession0001754960-26-000233

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.146
Soi Zip Pct 200k Plus
0.03
Soi Zip Returns 200k Plus
390
Soi Zip Total AGI
766,732
Fdic Zip Total Deposits
6,171,740,000
Fdic Zip Branch Count
219
Fdic Zip Top Banks
Branch Banking and Trust Company
Truist Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (22)

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
Edgar Addresses
Mailing
439 4TH STREET SWHICKORY, NC 28602
Business
439 4TH STREET SWHICKORY, NC 28602
Edgar EIN
841945560
Edgar Recent Filings
13F-HR2026-04-13 · 0001754960-26-000233
13F-HR2026-01-12 · 0001754960-26-000027
Fdic Zip Branches Raw
First-Citizens Bank & Trust CompanyHickory, NC
Southern National Bank of North CarolinaHickory, NC
Fdic Zip HHI
2257.68
Fdic Zip Top Bank Share Pct
42.08
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI53,786
Returns4,150
Stub 2
AGI138,481
Returns3,790
Stub 3
AGI122,651
Returns2,010
Soi Zip Total Business Income
21,268
Soi Zip Total Cap Gains
18,529
Soi Zip Total Dividends
8,249
Soi Zip Total Returns
13,010
Top Owner CRD
7862430
Trust Company Affiliate
No

People (3)

3
Smith, Robert, Deaton
IAR · Direct Owner · 62.5%
6600354
SMITH, KELLY, SHOOK
Direct Owner · 62.5%
7862430
Brittney Michelle Miller
IAR
6058531