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

Tmfs Advisory Services, LLC

Former SEC-registered adviserOverland Park, KansasCRD 151383SEC 801-70545IAPD
Latest filing Oct 14, 2016
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$407M
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
6
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$407M as of Feb 1, 2016
Mar 30, 2012$152M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 1, 2016
Mar 30, 20120 then
Employees (5.A)6 as of Feb 1, 2016
Mar 28, 20136 then
Private funds: no history
RAUM +9.7% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 14, 2016; every figure names its basis
RAUM per advisor
$407MderivedRAUM 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
$244,832derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.7%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
otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
1,661reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      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%
      • M Christopher Bouffard · Chief Investment Officercontrol
        since 03/2013 · owns less than 5%
      • Merril Clifford Brandt · Chief Compliance Officercontrol
        since 08/2009 · owns less than 5%
      • Bradley John Bunch · Presidentcontrol
        since 02/2016 · owns less than 5%
      • Raffaele Sadun · Chief Financial Officercontrol
        since 09/2014 · owns less than 5%
      Entity owners
      • The Mutual Fund Store, LLC · Member
        direct · owns 75% or more
      • Financial Engines, Inc. · Member
        indirect · owns 75% or more of Mayberry Acquisition Sub I, LLC · public reporting company
      • Kansas City 727 Acquisition LLC · Member
        indirect · owns 75% or more of Tmfs Holdings, LLC
      • Mayberry Acquisition Sub I, LLC · Shareholder
        indirect · owns 75% or more of Mayberry Holdco I, Inc.
      • Mayberry Holdco I, Inc. · Shareholder
        indirect · owns 75% or more of Mayberry Holdco II, Inc.
      • Mayberry Holdco II, Inc. · Member
        indirect · owns 75% or more of Kansas City 727 Acquisition LLC
      • Tmfs Holdings, LLC · Member
        indirect · owns 75% or more of The Mutual Fund Store, LLC
      Related persons
      Schedule D 7.A
      Advisers that list Tmfs Advisory Services, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,460 to 1,661
        Aug 18, 2015 to Feb 1, 2016
      • Discretionary RAUM · $371M to $407M
        Aug 18, 2015 to Feb 1, 2016
      • RAUM · $371M to $407M
        Aug 18, 2015 to Feb 1, 2016
      • Accounts · 1,245 to 1,460
        Jan 15, 2015 to Mar 27, 2015
      • State-registered IARs · 3 to 1
        Jan 15, 2015 to Mar 27, 2015
      • Discretionary RAUM · $310M to $371M
        Jan 15, 2015 to Mar 27, 2015
      • RAUM · $310M to $371M
        Jan 15, 2015 to Mar 27, 2015
      • Accounts · 1,024 to 1,245
        Mar 28, 2013 to Mar 13, 2014
      • Discretionary RAUM · $223M to $310M
        Mar 28, 2013 to Mar 13, 2014
      • RAUM · $223M to $310M
        Mar 28, 2013 to Mar 13, 2014
      • Accounts · 768 to 1,024
        Jan 2, 2013 to Mar 28, 2013
      • Discretionary RAUM · $152M to $223M
        Jan 2, 2013 to Mar 28, 2013
      • RAUM · $152M to $223M
        Jan 2, 2013 to Mar 28, 2013
      • Advisory employees · unset to 1.0
        Oct 15, 2012 to Oct 29, 2012
      • Employees · unset to 6.0
        Oct 15, 2012 to Oct 29, 2012
      • State-registered IARs · 0 to 3
        Oct 15, 2012 to Oct 29, 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