Unclaimed Profile

Thomas Sutter Sponholtz

UNISON INVESTMENT MANAGEMENT, LLC·SAN FRANCISCO, California

Series 7, Series 63, Series 6516 years registeredUNISON INVESTMENT MANAGEMENT, LLC

650 CALIFORNIA STREET, SAN FRANCISCO, CA 94108-2702CRD# 2003702Firm CRD# 150893

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Sutter Sponholtz · SAN FRANCISCO, CA

Registration

CRD #2003702 · UNISON INVESTMENT MANAGEMENT, LLC · 16 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: UNISON INVESTMENT MANAGEMENT, LLC

UNISON INVESTMENT MANAGEMENT, LLC

Sep 2009 – Dec 2025

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · September 16, 2009

Years registered · 16

Disclosure History

1993Customer Dispute·Settled

1991Employment Separation After Allegations

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

UNISON INVESTMENT MANAGEMENT, LLC

CRD 150893 · SEC 801-109979

AUM

$1.6B

Regulatory assets under management

Employees

3 client accounts

Services offered by UNISON INVESTMENT MANAGEMENT, LLC

Per Form ADV

Pension consulting

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at UNISON INVESTMENT MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Sutter Sponholtz offer?

Thomas Sutter Sponholtz specializes in Retirement Planning.

What are Thomas Sutter Sponholtz's credentials?

Thomas Sutter Sponholtz is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Sutter Sponholtz located?

Thomas Sutter Sponholtz is based in SAN FRANCISCO, California, last registered with UNISON INVESTMENT MANAGEMENT, LLC.

How does Thomas Sutter Sponholtz charge for services?

Thomas Sutter Sponholtz's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UNISON INVESTMENT MANAGEMENT, LLC?

UNISON INVESTMENT MANAGEMENT, LLC has approximately 20 employees and manages $1.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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