Overview
A. Description of the Advisory Firm
South Lakeview, LLC is a Limited Liability Company organized in the state of Colorado.
This firm has been in business since March 27, 2011, and the principal owner is James
Benjamin Tompkins.
B. Types of Advisory Services
South Lakeview, LLC (hereinafter “Tompkins & Co.”) offers the following services to
advisory clients:
Investment Supervisory Services
Tompkins & Co. offers ongoing portfolio management services based on the individual
goals, objectives, time horizon, and risk tolerance of each client. Tompkins & Co. creates
an Investment Policy Statement for each client, which outlines the client’s current
situation (income, tax levels, and risk tolerance levels) and then constructs a plan (the
Investment Policy Statement) to aid in the selection of a portfolio that matches each client’s
specific situation. Investment Supervisory Services include, but are not limited to, the
following:
• Investment strategy • Personal investment policy
• Asset allocation • Asset selection
• Risk assessment • Regular portfolio monitoring
Tompkins & Co. evaluates the current investments of each client with respect to their risk
tolerance levels and time horizon. Risk tolerance levels are documented in the Investment
Policy Statement, which is given to each client. The Investment Policy Statement is
updated periodically, as required based on material changes to a client’s financial
circumstance.
Services Limited to Specific Types of Investments
Tompkins & Co. limits its money management to mutual funds, equities, bonds, fixed
income, debt securities, ETFs, REITs, and government securities. Tompkins & Co. may
use other securities as well to help diversify a portfolio when applicable.
C. Client Tailored Services and Client Imposed Restrictions
Tompkins & Co. offers the same suite of services to all of its clients. However, specific
client investment strategies and their implementation are dependent upon the client
Investment Policy Statement which outlines each client’s current situation (income, tax
levels, and risk tolerance levels) and is used to construct a client specific plan to aid in the
selection of a portfolio that matches restrictions, needs, and targets.
Clients may impose restrictions in investing in certain securities or types of securities in
accordance with their values or beliefs. However, if the restrictions prevent Tompkins &
Co. from properly servicing the client account, or if the restrictions would require
Tompkins & Co. to deviate from its standard suite of services, Tompkins & Co. reserves
the right to terminate the relationship.
D. Wrap Fee Programs
Tompkins & Co. does not sponsor or participate in any wrap fee programs.
E. Amounts Under Management
As of March 28, 2024 Tompkins & Co. had approximately $318 million under
management. Tompkins & Co. manages client funds on both a discretionary and non-
discretionary basis.