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 adviserOverland Park, KansasCRD 148857SEC 801-69762IAPD
Legal name The Mutual Fund Store-New York, LLC
Latest filing Apr 1, 2015
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$177M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$177M as of Mar 12, 2015
Mar 30, 2012$72.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 12, 2015
Mar 30, 20120 then
Employees (5.A)4 as of Mar 12, 2015
Mar 26, 20138 then
Private funds: no history
RAUM +9.4% over the last fiscal year+35% a year over threeIARs 6 to 2
Practice profile
derived from the filing of Apr 1, 2015; every figure names its basis
RAUM per advisor
$88.4MderivedRAUM 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
$120,643derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.4%derivedbetween the last two annual amendments
Advisor growth, one year
-67%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, selection of other advisersreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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
1,465reported
Financial planning clients
0reported
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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Richard Edward Bloomberg · Chief Operating Officercontrol
    since 09/2012 · owns less than 5%
  • Stuart Adam Bold · Chairmancontrol
    since 02/2012 · owns less than 5%
  • Merril Clifford Brandt · Chief Compliance Officercontrol
    since 08/2008 · owns less than 5%
  • Bradley John Bunch · Chief Executive Officercontrol
    since 02/2012 · owns less than 5%
  • Raffaele Sadun · Chief Financial Officercontrol
    since 09/2014 · owns less than 5%
Entity owners
  • Tmfs Holdings, LLC · Managing Member
    direct · owns 75% or more
  • Kansas City 727 Acquisition Corporation · Member
    indirect · owns 50% to 75% of Kansas City 727 Acquisition, LLC
  • Kansas City 727 Acquisition, LLC · Member
    indirect · owns 75% or more of Tmfs Holdings, LLC
  • Warburg Pincus Private Equity X, L.P. · Shareholder
    indirect · owns 75% or more of Kansas City 727 Acquisition Corporation
  • Warburg Pincus X, L.P. · General Partner
    indirect · owns F of Warburg Pincus Private Equity X, L.P.
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
  • Rochester, NY
What changed
consecutive filings, newest first
  • Accounts · 1,348 to 1,465
    Feb 12, 2015 to Mar 12, 2015
  • Advisory employees · 6 to 2
    Feb 12, 2015 to Mar 12, 2015
  • Employees · 7 to 4
    Feb 12, 2015 to Mar 12, 2015
  • State-registered IARs · 6 to 2
    Feb 12, 2015 to Mar 12, 2015
  • Discretionary RAUM · $162M to $177M
    Feb 12, 2015 to Mar 12, 2015
  • RAUM · $162M to $177M
    Feb 12, 2015 to Mar 12, 2015
  • Accounts · 1,078 to 1,348
    Sep 20, 2013 to Mar 14, 2014
  • Employees · 8 to 7
    Sep 20, 2013 to Mar 14, 2014
  • Discretionary RAUM · $103M to $162M
    Sep 20, 2013 to Mar 14, 2014
  • RAUM · $103M to $162M
    Sep 20, 2013 to Mar 14, 2014
  • Accounts · 902 to 1,078
    Feb 6, 2013 to Mar 26, 2013
  • Advisory employees · 2 to 6
    Feb 6, 2013 to Mar 26, 2013
  • Employees · 3 to 8
    Feb 6, 2013 to Mar 26, 2013
  • State-registered IARs · 2 to 6
    Feb 6, 2013 to Mar 26, 2013
  • Discretionary RAUM · $72.3M to $103M
    Feb 6, 2013 to Mar 26, 2013
  • RAUM · $72.3M to $103M
    Feb 6, 2013 to Mar 26, 2013
  • Advisory employees · unset to 2.0
    Oct 15, 2012 to Nov 8, 2012
  • Employees · unset to 3.0
    Oct 15, 2012 to Nov 8, 2012
  • State-registered IARs · 0 to 2
    Oct 15, 2012 to Nov 8, 2012
  • Legal name · THE MUTUAL FUND STORE-ROCHESTER, LLC to THE MUTUAL FUND STORE-NEW YORK, LLC
    Jul 16, 2012 to Jul 17, 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