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

Former SEC-registered adviserFederal Way, WashingtonCRD 144493SEC 801-77547IAPD
Legal name The Mutual Fund Store-Seattle, LLC
Latest filing Mar 20, 2013
First filing on the tape Mar 16, 2012 · 18 filings
RAUM
$103M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$103M as of Mar 20, 2013
Mar 16, 2012$80.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 20, 2013
Mar 16, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM +28% over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Mar 20, 2013; every figure names its basis
RAUM per advisor
$34.4MderivedRAUM 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
$139,461derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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)
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
740reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Link Jeff Roper · President; Managing Partnercontrol
    since 06/2009 · owns 75% or more
  • Steven Norman Thomson · Chief Compliance Officer/Senior Investment Advisorcontrol
    since 06/2009 · owns less than 5%
  • Richard Don Norris · Member
    since 06/2009 · owns 5% to 10%
Related persons
Schedule D 7.A
Advisers that list The Mutual Fund Store as a related person
Offices
Schedule D 1.F, the 25 largest
  • Bellevue, WA
  • Lynnwood, WA
  • Seattle, WA
What changed
consecutive filings, newest first
  • Accounts · 1,048 to 740
    Feb 8, 2013 to Mar 20, 2013
  • Discretionary RAUM · $103M to $103M
    Feb 8, 2013 to Mar 20, 2013
  • RAUM · $103M to $103M
    Feb 8, 2013 to Mar 20, 2013
  • Accounts · 953 to 1,048
    Jun 19, 2012 to Jan 4, 2013
  • Advisory employees · unset to 3.0
    Jun 19, 2012 to Jan 4, 2013
  • Advisory activities · 5 to 2
    Jun 19, 2012 to Jan 4, 2013
  • Employees · unset to 3.0
    Jun 19, 2012 to Jan 4, 2013
  • State-registered IARs · 0 to 3
    Jun 19, 2012 to Jan 4, 2013
  • Discretionary RAUM · $80.4M to $103M
    Jun 19, 2012 to Jan 4, 2013
  • RAUM · $80.4M to $103M
    Jun 19, 2012 to Jan 4, 2013
  • Advisory activities · 2 to 4
    Jun 4, 2012 to Jun 15, 2012
  • Advisory activities · 4 to 5
    Jun 15, 2012 to Jun 15, 2012
Signals
1 dated events
  • The Mutual Fund Store filed its initial SEC registration (Form ADV)
    Jan 4, 2013 · First SEC registration · fact
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