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

The Mutual Fund Store - Charlotte

Former SEC-registered adviserCharlotte, North CarolinaCRD 133503SEC 801-66877IAPD
Legal name Tmfs-Charlotte, LLC
Latest filing Mar 11, 2014
First filing on the tape Jan 18, 2012 · 10 filings
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$136M as of Mar 11, 2014
Jan 18, 2012$98.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 11, 2014
Jan 18, 20120 then
Employees (5.A)3 as of Mar 11, 2014
Jan 16, 20133 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 2014; every figure names its basis
RAUM per advisor
$68.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$253,398derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
538reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • David Kurt Balderston · Managing Partnercontrol
      since 10/2004 · owns less than 5%
    • Ray Troy Hedman · Managing Partnercontrol
      since 10/2004 · owns less than 5%
    • Edward Shawn Mccutchan · Chief Compliance Officercontrol
      since 03/2009 · owns less than 5%
    • Matthew Stephen Krol · Owner
      since 10/2004 · owns 5% to 10%
    • Joseph James Marmon · Owner
      since 10/2004 · owns 5% to 10%
    • Allen Brent Mccune · Owner
      since 10/2004 · owns 5% to 10%
    • Ann Patricia Myers · Owner
      since 10/2004 · owns 10% to 25%
    • Ray Dennis Upshaw · Owner
      since 10/2004 · owns 10% to 25%
    • Don Douglas Friedrichsen · Owner
      since 04/2010 · owns 75% or more of Entrust New Direction, Inc Fbo Doug Friedrichsen
    Entity owners
    • Cash King, LLC. · Owner
      direct · owns 5% to 10%
    • Entrust New Direction Ira, Inc Fbo Doug Friedrichsen · Owner
      direct · owns 5% to 10%
    • Mu Holdings, LLC. · Owner
      direct · owns 5% to 10%
    • Campbell, Todd, Alexander · Owner
      indirect · owns 75% or more of Mu Holdings, LLC.
    • Coble, Diane · Owner
      indirect · owns 50% to 75% of Cash King, LLC.
    • Coble, Randall, Scott · Owner
      indirect · owns 50% to 75% of Cash King, LLC.
    Related persons
    Schedule D 7.A
    Advisers that list The Mutual Fund Store - Charlotte as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,017 to 538
      Oct 3, 2013 to Mar 11, 2014
    • Financial planning clients · 51-100 to 251-500
      Oct 3, 2013 to Mar 11, 2014
    • Discretionary RAUM · $112M to $136M
      Oct 3, 2013 to Mar 11, 2014
    • RAUM · $112M to $136M
      Oct 3, 2013 to Mar 11, 2014
    • Accounts · 1,043 to 1,017
      Dec 11, 2012 to Jan 16, 2013
    • Advisory activities · 3 to 4
      Dec 11, 2012 to Jan 16, 2013
    • Financial planning clients · 0 to 51-100
      Dec 11, 2012 to Jan 16, 2013
    • Discretionary RAUM · $98.1M to $112M
      Dec 11, 2012 to Jan 16, 2013
    • RAUM · $98.1M to $112M
      Dec 11, 2012 to Jan 16, 2013
    • Advisory employees · unset to 2.0
      Oct 25, 2012 to Dec 11, 2012
    • Employees · unset to 3.0
      Oct 25, 2012 to Dec 11, 2012
    • State-registered IARs · 0 to 2
      Oct 25, 2012 to Dec 11, 2012
    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