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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

TMD & ASSOCIATES, INC.

CRD 113896

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1e50fe08-c2f3-5839-12e0-36ef8b5d9113

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 1
Observed: Mar 7, 2012 to Mar 29, 2019
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

TMD & Associates, Inc.

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $413MItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $401M
Private client RAUM: $342MderivedItem 5.D individuals plus high net worth individuals
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,111
Individual clients: 104
High net worth clients: 123
Custody, client assets: $10.9M
SEC number: 801-66454
CRD: 113896
Filings on the tape: 19
First filed: Mar 7, 2012
Latest filed: Mar 29, 2019
Organised: Corporation, Arizona

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DOUMA, TODD, MACARTHUR	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	08/1994	Mar 7, 2012	Mar 29, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
AARON COATES CPA PLLC	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$413M	$401M	10	6	0	n/a	n/a
2017	Mar 29, 2018	$388M	$374M	9	6	0	n/a	n/a
2016	Mar 31, 2017	$285M	$276M	6	4	n/a	n/a	n/a
2015	Mar 18, 2016	$253M	$241M	8	3	n/a	n/a	n/a
2014	Mar 5, 2015	$215M	$203M	5	2	n/a	n/a	n/a
2013	Mar 5, 2014	$193M	$181M	5	2	n/a	n/a	n/a
2012	Mar 13, 2013	$150M	$138M	4	2	n/a	n/a	n/a
2011	Mar 7, 2012	$138M	$127M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$413M	$388M	6.5%	$253M	17.7%	10	9	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ONE CHARLES PRIVATE WEALTH	4	Jul 1, 2019	Aug 15, 2019	SCOTTSDALE, AZ	Firm absorbed	RIA to RIA	80.0%

Relationships

Controls (1)

← DOUMA, TODD, MACARTHUROwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 7, 2012 to presentfactForm ADV

Affiliated with (1)

← PRISM CAPITAL ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Moved with (1)

→ ONE CHARLES PRIVATE WEALTHRegistered adviser4 advisors, firm absorbed
Jul 1, 2019 to Aug 15, 2019factForm ADV

Registered with (7)

← TODD MACARTHUR DOUMAAdvisorregistration: previous registration
Feb 7, 2001 to Jul 12, 2019factForm ADV
← STEVEN EUGENE NEELEYAdvisorregistration: previous registration
Aug 12, 2010 to Jul 1, 2019factForm ADV
← GAVIN DAVID LYONSAdvisorregistration: previous registration
Jun 27, 2016 to Jul 1, 2019factForm ADV
← SHAWN JEROME WESTAdvisorregistration: previous registration
Nov 27, 2017 to Jul 1, 2019factForm ADV
← AARON Michael COATESAdvisorregistration: previous registration
Sep 20, 2018 to Jul 1, 2019factForm ADV
← ETHAN RUSSMANAdvisorregistration: previous registration
Jun 22, 2017 to Dec 12, 2017factForm ADV
← Nathan NIELS FaerberAdvisorregistration: previous registration
Nov 24, 2008 to May 24, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e50fe08-c2f3-5839-12e0-36ef8b5d9113
First observed: Mar 7, 2012
Last observed: Mar 29, 2019 91 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TMD & ASSOCIATES, INC.

CRD 113896

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1e50fe08-c2f3-5839-12e0-36ef8b5d9113

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOUMA, TODD, MACARTHUR

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

08/1994

Mar 7, 2012

Mar 29, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AARON COATES CPA PLLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$413M

$401M

n/a

2017

Mar 29, 2018

$388M

$374M

n/a

2016

Mar 31, 2017

$285M

$276M

n/a

2015

Mar 18, 2016

$253M

$241M

n/a

2014

Mar 5, 2015

$215M

$203M

n/a

2013

Mar 5, 2014

$193M

$181M

n/a

2012

Mar 13, 2013

$150M

$138M

n/a

2011

Mar 7, 2012

$138M

$127M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$413M

$388M

6.5%

$253M

17.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ONE CHARLES PRIVATE WEALTH

Jul 1, 2019

Aug 15, 2019

SCOTTSDALE, AZ

Firm absorbed

RIA to RIA

80.0%