TOMPKINS FINANCIAL CORP

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Tompkins Financial Corp is based out of Ithaca. Tompkins Financial Corp is a large advisory firm with discretionary assets under management (AUM) of $632,792,896 (Form ADV from 2013-12-01). Their last reported 13F filing for Q2 2020 included $476,019,000 in managed 13F securities and a top 10 holdings concentration of 38.13%. Tompkins Financial Corp's largest holding is Tompkins Financial Corp. (Ithaca, NY) with shares held of 405,026. Tompkins Financial Corp has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 87 13F filings, 13 13G filings, and 401 Form 4 filings

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06/30/2020

13F Activity

  • Market Value $476.019 Million
  • Prior Market Value $433.321 Million
  • New Purchases15 stocks
  • Additional Purchases73 stocks
  • Sold out of58 stocks
  • Reduced holdings in114 stocks
  • Top 10 Holdings % 38.13 %
  • Turnover % [1]:19.47%
  • Turnover Alt % [2]: 8.87 %
  • Time Held Top20:14.20 quarters
  • Time Held Top10:18.90 quarters
  • Time Held All:29.71 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 26.06%
Performance Last 4 Quarters: -1.77%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

TOMPKINS FINANCIAL ADVISORS
179 SULLY'S TRAIL SUITE 200
PITTSFORD NY    14534-4599
Country: UNITED STATES

Business Phone: 585.248.0050
Fax: 585.248.0238
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NY
Number of employees: 19
Other Business Activities: registered representative of a broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 8,454,630
Total Number of Clients: 0
Amount of client funds and securities by related persons: 45,163,500
Total Number of clients from related persons: 153
Disclosures: 11.E (2)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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TOMPKINS WEALTH MANAGEMENT INC.

ownership team - last updated 2014-03-31
Name Title Start Date Direct/Indirect % Ownership
TFA MANAGMENT, INC. F/K/A AM&M FINANCIAL SERVICES, INC. PARENT COMPANY 06/01/1988 Direct 75% or more
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC PARENT COMPANY direct 1988-06-01
ENSEMBLE FINANCIAL SERVICES, INC. PARENT COMPANY direct 1988-07-01
AM&M PLANNERS INC CONTROL COMPANY direct 1988-06-01 2002-10-31
FULMER, JAMES, WALTER DIRECTOR 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENSEMBLE FINANCIAL SERVICES, INC. CHAIRMAN OF THE BOARD indirect 2006-01-01
AM&M PLANNERS INC CHAIRMAN OF THE BOARD direct 2006-01-01
TOMPKINS WEALTH MANAGEMENT INC. DIRECTOR direct 2011-05-01
ROMAINE, STEPHEN, S. DIRECTOR 01/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENSEMBLE FINANCIAL SERVICES, INC. DIRECTOR indirect 2007-01-01
TOMPKINS WEALTH MANAGEMENT INC. DIRECTOR direct 2007-01-01
HAELEN, LAURIE, ANN MANAGING DIRECTOR WESTERN NEW YORK 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC SENIOR VICE PRESIDENT AND DIRECTOR OF INVESTMENT SERVICES direct 2007-07-01
AM&M PLANNERS INC MANAGING DIRECTOR WESTERN NEW YORK AND DIRECTOR OF INVESTMENT SERVICES direct 2007-07-01
TOMPKINS WEALTH MANAGEMENT INC. MANAGING DIRECTOR WESTERN NEW YORK direct 2011-09-01
WARNER, CHRISTINE, ANNE CHIEF COMPLIANCE OFFICER 04/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENSEMBLE FINANCIAL SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2010-04-01
TOMPKINS WEALTH MANAGEMENT INC. CHIEF COMPLIANCE OFFICER direct 2010-04-01
KLEIN, GERALD, JOSEPH DIRECTOR 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC DIRECTOR direct 2011-05-01
HARTZ, GREGORY, JOHN CHAIRMAN OF THE BOARD 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
ENSEMBLE FINANCIAL SERVICES, INC. DIRECTOR indirect 2011-01-01
AM&M PLANNERS INC DIRECTOR direct 2010-10-01
AM&M PLANNERS INC CEO AND DIRECTOR direct 2010-10-01
TOMPKINS WEALTH MANAGEMENT INC. CEO AND CHAIRMAN OF THE BOARD direct 2011-05-01
TOMPKINS WEALTH MANAGEMENT INC. CHAIRMAN OF THE BOARD direct 2011-05-01
FESSENDEN, DANIEL, JAMES DIRECTOR 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC DIRECTOR direct 2011-05-01
HAYNES, CARL, E DIRECTOR 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC DIRECTOR direct 2011-05-01
PRONTI, SCOTT VP HUMAN RESOURCES 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC VP HUMAN RESOURCES direct 2011-01-01
OTOOLE, TIFFANY, CLAUDINE MANAGING DIRECTOR HUDSON VALLEY 02/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC MANAGING DIRECTOR HUDSON VALLEY direct 2011-02-01
BENEDICT-JONES, MICHELLE MANAGING DIRECTOR CENTRAL NEW YORK 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
AM&M PLANNERS INC MANAGING DIRECTOR CENTRAL NEW YORK direct 2011-01-01
GRUBER, SCOTT, L DIRECTOR 08/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOMPKINS WEALTH MANAGEMENT INC. DIRECTOR direct 2013-08-01
MUTI, ROBERT, WILLIAM MANAGING DIRECTOR PENNSYLVANIA 05/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOMPKINS WEALTH MANAGEMENT INC. MANAGING DIRECTOR PENNSYLVANIA direct 2013-05-01
MADISON FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2004-01-01
VIST CAPITAL MANAGEMENT,LLC CHIEF COMPLIANCE OFFICER,DIRECTOR direct 2004-01-01
MADISON FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER, DIRECTOR, VICE PRESIDENT, OSJ MANAGER direct 2004-01-01
ANGELIS, STEPHEN, MICHAEL PRESIDENT TOMPKINS FINANCIAL ADVISORS / TFA MANAGEMENT INC. 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOMPKINS WEALTH MANAGEMENT INC. PRESIDENT TOMPKINS FINANCIAL ADVISORS / TFA MANAGEMENT INC. direct 2014-02-01
TOMPKINS FINANCIAL CORPORATION PARENT COMPANY OF TFA MANAGEMENT INC. TFA MANAGMENT INC. F/K/A AM&M FINANCIAL SERVICES, INC. 01/01/2006 Indirect 75% or more
Fund Name Position direct/indirect start date end date
ENSEMBLE FINANCIAL SERVICES, INC. PARENT COMPANY OF AM&M FINANCIAL SERVICES INC. WHICH IS THE PARENT COMPANY OF ENSEMBLE FINANCIAL SERVICES, INC. indirect 2006-01-01
ENSEMBLE FINANCIAL SERVICES, INC. PARENT COMPANY OF AM&M FINANCIAL SERVICES INC. WHICH IS THE PARENT COMPANY OF ENSEMBLE FINANCIAL SERVICES, INC. indirect 2006-01-01
ENSEMBLE FINANCIAL SERVICES, INC. PARENT COMPANY OF ENSEMBLE FINANCIAL SERVICES, INC. indirect 2006-01-01
AM&M PLANNERS INC PARENT COMPANY OF AM&M FINANCIAL SERVICES, INC. indirect 2006-01-01
AM&M PLANNERS INC PARENT COMPANY OF TFA MANAGEMENT INC. indirect 2006-01-01

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