Investment adviser · CRD 109139

THB ASSET MANAGEMENT

Investment adviser filing (IA)

THOMSON HORSTMANN & BRYANT INC

NORWALK, CT, United States · Form ADV filed Mar 2, 2021

Regulatory AUM: $606M
Client accounts: 63
Employees: 14
Advisory professionals: 8

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	6	$374,425,883	61.8%
Investment companies	1	$76,833,056	12.7%
Other investment advisers	Fewer than 5	$52,815,708	8.7%
Government entities	Fewer than 5	$39,594,970	6.5%
Corporations & businesses	Fewer than 5	$31,834,250	5.3%
Other clients	Fewer than 5	$22,803,480	3.8%
High-net-worth individuals	50	$7,687,448	1.3%
Individuals	Fewer than 5	$0	0.0%
Banks & thrifts	Fewer than 5	$0	0.0%
Retirement plans	Fewer than 5	Not reported	Not reported
Charities	Fewer than 5	$0	0.0%
Insurance companies	Fewer than 5	$0	0.0%
Sovereign wealth & foreign institutions	Fewer than 5	$0	0.0%

Filing source

Form ADV 1501999 · Mar 2, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

4 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

THB SMALLCAP FUND, LLCHedge Fund · Last reported Jul 16, 2020$33.7MGross asset value

Fund administrator SEI GLOBAL FUND SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PKF O'CONNOR DAVIES LLP NEW YORK, New York, United States

Custodian BROWN BROTHERS HARRIMAN & CO. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PKF O'CONNOR DAVIES LLP
PCAOB 127

Fund details & source

Fund ID: 805-3731893361
Reported beneficial owners: 3
Minimum commitment: $500K
Form D file number: 021-1500700

Form ADV 1445606 · Jul 16, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

THB MICROCAP FUND, LLCHedge Fund · Last reported Jul 16, 2020$7.59MGross asset value

Fund administrator SEI GLOBAL FUND SERVICES, INC. OAKS, Pennsylvania, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PKF O'CONNOR DAVIES LLP NEW YORK, New York, United States

Custodian BROWN BROTHERS HARRIMAN & CO. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PKF O'CONNOR DAVIES LLP
PCAOB 127

Fund details & source

Fund ID: 805-8712501828
Reported beneficial owners: 3
Minimum commitment: $500K
Form D file number: 021-1500702

Form ADV 1445606 · Jul 16, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

THB INVESTMENTS LLCOther Private Fund · Last reported Apr 17, 2018$269KGross asset value

Fund administrator LEVEL 1 PARTNERS NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PKF O'CONNOR DAVIES, LLP NEW YORK, New York, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker WEEDEN PRIME SERVICES, LLC. GREENWICH, Connecticut, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PKF O'CONNOR DAVIES, LLP
PCAOB 127

PERSHING LLC
SEC 8-17574

WEEDEN PRIME SERVICES, LLC.
CRD 146103 · SEC 8-67787

Fund details & source

Fund ID: 805-7951528023
Reported beneficial owners: 4
Minimum commitment: $10K

Form ADV 1209905 · Apr 17, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

M7 INVESTMENTS LLCOther Private Fund · Last reported May 5, 2017$138KGross asset value

Auditor PKF O'CONNOR DAVIES, LLP NEW YORK, New York, United States

Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No

Custodian MORGAN STANLEY SMITH BARNEY LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

INTERACTIVE BROKERS LLC
SEC 8-47257

MORGAN STANLEY SMITH BARNEY LLC
SEC 8-68191

Fund details & source

Fund ID: 805-1106246494
Reported beneficial owners: 6
Minimum commitment: $10K

Form ADV 1114080 · May 5, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 2, 2021. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets

Principal office

501 MERRITT 7
NORWALK, CT, 06851, United States

CRD 109139

Filing source

Form ADV 1501999 · Mar 2, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.