DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Tmd & Associates, Inc.
Latest filing Mar 29, 2019
First filing on the tape Mar 7, 2012 · 19 filings
RAUM
$413M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
83%
$342M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$413M as of Mar 29, 2019
Mar 7, 2012$138M then
HNW client RAUM$300M as of Mar 29, 2019
Mar 29, 2018$282M then
State-registered IARs (5.B.3)6 as of Mar 29, 2019
Mar 7, 20120 then
Employees (5.A)10 as of Mar 29, 2019
Mar 13, 20134 then
Private funds: no history
RAUM +6.5% over the last fiscal year+18% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $68.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $371,705derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $10.9M, 17 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$300M73%
- Pension and profit-sharing plans$68.7M17%
- Individuals$42.1M10%
- Corporations and businesses$2.2M0.5%
- Individual clients
- 104reported
- HNW clients
- 123reported
- Pension plan clients
- 44reported
- Charitable clients
- n/areported
- Accounts
- 1,111reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.9M for 17 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Todd Macarthur Douma to One Charles Private WealthJul 12, 2019 · RIA to RIA
- Steven Eugene Neeley to One Charles Private WealthJul 1, 2019 · RIA to RIA
- Gavin David Lyons to One Charles Private WealthJul 1, 2019 · RIA to RIA
- Shawn Jerome West to One Charles Private WealthJul 1, 2019 · RIA to RIA
- Aaron Michael Coates to Keystone Wealth Partners LLCJul 1, 2019 · RIA to RIA
- Ethan Russman to Emerson Equity LLCDec 12, 2017 · Other
- Nathan Niels Faerber to Usaa Financial Planning ServicesMay 24, 2010 · Other
Joined, latest
- Ethan Russman from Fsc Securities CorporationJun 22, 2017 · Other
- Gavin David Lyons from Mcalvany Wealth Management, LLCJun 27, 2016 · Other
- Nathan Niels Faerber from Chase Investment Services Corp.Nov 24, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for One Charles Private WealthJul 1, 2019 · Scottsdale, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Macarthur Todd Douma · President And Chief Compliance Officercontrolsince 08/1994 · owns 75% or more
Related persons
Schedule D 7.A
- Aaron Coates Cpa Pllcinsurancey
Advisers that list Tmd & Associates, Inc. as a related person
- 285552 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,059 to 1,111Aug 31, 2018 to Mar 29, 2019
- Advisory employees · 5 to 6Aug 31, 2018 to Mar 29, 2019
- Corporate clients · 3 to 2Aug 31, 2018 to Mar 29, 2019
- HNW clients · 129 to 123Aug 31, 2018 to Mar 29, 2019
- Individual clients · 94 to 104Aug 31, 2018 to Mar 29, 2019
- Pension plan clients · 43 to 44Aug 31, 2018 to Mar 29, 2019
- Assets in custody · $12.4M to $10.9MAug 31, 2018 to Mar 29, 2019
- Financial planning clients · 101-250 to 251-500Aug 31, 2018 to Mar 29, 2019
- State-registered IARs · 5 to 6Aug 31, 2018 to Mar 29, 2019
- Discretionary RAUM · $400M to $401MAug 31, 2018 to Mar 29, 2019
- HNW RAUM · $297M to $300MAug 31, 2018 to Mar 29, 2019
- Individual RAUM · $37.0M to $42.1MAug 31, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $13.1M to $12.1MAug 31, 2018 to Mar 29, 2019
- Pension RAUM · $68.7M to $68.7MAug 31, 2018 to Mar 29, 2019
- RAUM · $413M to $413MAug 31, 2018 to Mar 29, 2019
- Related adviser · true to falseAug 31, 2018 to Mar 29, 2019
- Related bank · true to falseAug 31, 2018 to Mar 29, 2019
- Related insurance company · false to trueAug 31, 2018 to Mar 29, 2019
- Accounts · 954 to 1,059Mar 29, 2018 to Aug 31, 2018
- Advisory employees · 6 to 5Mar 29, 2018 to Aug 31, 2018
- HNW clients · 121 to 129Mar 29, 2018 to Aug 31, 2018
- Individual clients · 89 to 94Mar 29, 2018 to Aug 31, 2018
- Pension plan clients · 36 to 43Mar 29, 2018 to Aug 31, 2018
- Assets in custody · $11.8M to $12.4MMar 29, 2018 to Aug 31, 2018
- Employees · 9 to 10Mar 29, 2018 to Aug 31, 2018
- State-registered IARs · 6 to 5Mar 29, 2018 to Aug 31, 2018
- Discretionary RAUM · $374M to $400MMar 29, 2018 to Aug 31, 2018
- HNW RAUM · $282M to $297MMar 29, 2018 to Aug 31, 2018
- Individual RAUM · $34.8M to $37.0MMar 29, 2018 to Aug 31, 2018
- Non-discretionary RAUM · $13.3M to $13.1MMar 29, 2018 to Aug 31, 2018
- Pension RAUM · $61.9M to $68.7MMar 29, 2018 to Aug 31, 2018
- RAUM · $388M to $413MMar 29, 2018 to Aug 31, 2018
- Accounts · 913 to 954Dec 15, 2017 to Mar 29, 2018
- HNW clients · 119 to 121Dec 15, 2017 to Mar 29, 2018
- Individual clients · 84 to 89Dec 15, 2017 to Mar 29, 2018
- Pension plan clients · 17 to 36Dec 15, 2017 to Mar 29, 2018
- Assets in custody · $13.2M to $11.8MDec 15, 2017 to Mar 29, 2018
- Employees · 8 to 9Dec 15, 2017 to Mar 29, 2018
- Insurance-licensed employees · 1 to 0Dec 15, 2017 to Mar 29, 2018
- Discretionary RAUM · $319M to $374MDec 15, 2017 to Mar 29, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026