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

THE MUTUAL FUND STORE

THE MUTUAL FUND STORE-SEATTLE, LLC, CRD 144493

FEDERAL WAY, WA

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:d68ec0a6-2ae0-5d18-c909-21e2ad4520a6

Data as of Mar 20, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2012 to Mar 20, 2013
18 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $103MItem 5.F on the latest filing (2013-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $103M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Accounts: 740
SEC number: 801-77547
CRD: 144493
Filings on the tape: 18
First filed: Mar 16, 2012
Latest filed: Mar 20, 2013
Organised: Limited Liability Company, Washington

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
ROPER, JEFF, LINK	PRESIDENT; MANAGING PARTNER	E	yes	06/2009	Mar 16, 2012	Mar 20, 2013
THOMSON, NORMAN, STEVEN	CHIEF COMPLIANCE OFFICER/SENIOR INVESTMENT ADVISOR	Na	yes	06/2009	Mar 16, 2012	Mar 20, 2013
NORRIS, DON, RICHARD	Member	A	no	06/2009	Mar 16, 2012	Mar 20, 2013

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
TMFS - FRESNO, LLC	n/a	Former SEC adviser	$60.0M	N	no	n/a
TMFS-WICHITA, LLC	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Bellevue	Wa	United States	n/a	no
Lynnwood	Wa	United States	n/a	no
Seattle	Wa	United States	n/a	no

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
2012	Mar 20, 2013	$103M	$103M	3	3	n/a	n/a	n/a
2011	Mar 16, 2012	$80.4M	$80.4M	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
2012	$103M	$80.4M	28.4%	n/a	n/a	3	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ THE MUTUAL FUND STORERegistered adviserother investment adviser
factForm ADV
← THE MUTUAL FUND STORERegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← THOMSON, NORMAN, STEVENOwnerCHIEF COMPLIANCE OFFICER/SENIOR INVESTMENT ADVISOR, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV
← ROPER, JEFF, LINKOwnerPRESIDENT; MANAGING PARTNER, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV

Owns (1)

← NORRIS, DON, RICHARDOwnerMEMBER, ownership code A, individual
Mar 16, 2012 to presentfactForm ADV

Registered with (5)

← NORMAN STEVEN THOMSONAdvisorregistration: previous registration
May 23, 2008 to Feb 18, 2014factForm ADV
← DON RICHARD NORRISAdvisorregistration: previous registration
Jan 3, 2008 to Feb 18, 2014factForm ADV
← DAVID J FENNELLAdvisorregistration: previous registration
May 21, 2008 to Feb 18, 2014factForm ADV
← BRYAN ROBERT CLARKAdvisorregistration: previous registration
Jun 19, 2008 to Feb 1, 2012factForm ADV
← CLINT MATTHEW HAYNESAdvisorregistration: previous registration
Dec 3, 2007 to Dec 31, 2009factForm ADV

Dated events

Occurred
Jan 4, 2013
First Form ADV filing
The Mutual Fund Store filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d68ec0a6-2ae0-5d18-c909-21e2ad4520a6
First observed: Mar 16, 2012
Last observed: Mar 20, 2013 164 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.

THE MUTUAL FUND STORE

THE MUTUAL FUND STORE-SEATTLE, LLC, CRD 144493

FEDERAL WAY, WA

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:d68ec0a6-2ae0-5d18-c909-21e2ad4520a6

Data as of Mar 20, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROPER, JEFF, LINK

PRESIDENT; MANAGING PARTNER

yes

06/2009

Mar 16, 2012

Mar 20, 2013

THOMSON, NORMAN, STEVEN

CHIEF COMPLIANCE OFFICER/SENIOR INVESTMENT ADVISOR

yes

06/2009

Mar 16, 2012

Mar 20, 2013

NORRIS, DON, RICHARD

Member

06/2009

Mar 16, 2012

Mar 20, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TMFS - FRESNO, LLC

n/a

Former SEC adviser

$60.0M

n/a

TMFS-WICHITA, LLC

n/a

City

State

Country

Employees

Also broker-dealer

Bellevue

United States

n/a

Lynnwood

United States

n/a

Seattle

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 20, 2013

$103M

n/a

2011

Mar 16, 2012

$80.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$103M

$80.4M

28.4%

n/a