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.
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SEC-registered adviser
T•• A•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Apr 20, 2021 · 11 filings
SEC status approved since May 20, 2021
RAUM
$161M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
95%
$153M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$80.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$161M as of Mar 5, 2026
Feb 28, 2022$122M then
HNW client RAUM$114M as of Mar 5, 2026
Feb 28, 2022$80.4M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Feb 28, 20222 then
Employees (5.A)3 as of Mar 5, 2026
Feb 28, 20223 then
Private funds: no history
RAUM +19% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $80.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $378,493derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $2.7M, 2 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M71%
- Individuals$38.2M24%
- Pension and profit-sharing plans$6.3M3.9%
- Corporations and businesses$1.9M1.2%
- Charitable organizations$423,5040.3%
- Individual clients
- 86reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 426reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• R••••• T••••••Certified Financial Planner, Chartered Financial Consultant | Edmonds, Wa | Aug 26, 2013 | 42 y | 1 |
| A•••• M•••••• T••••••Chartered Financial Consultant | Edmonds, Wa | Sep 7, 2017 | 12 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D••• R••••• T•••••• from F•• S••••••••• C•••••••••Aug 26, 2013 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• A••••• M•••••• · Managing Member, Vice President - Financial Planningcontrolsince 01/2019 · owns 50% to 75%
- T••••••• D•••• R••••• · Member, Ccocontrolsince 05/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Edmonds, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 5, 2026discretionary share of RAUM moved from 0.0% to 63.0% between the annual amendments of 2025-03-17 and 2026-03-05peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 415 to 426Sep 4, 2025 to Mar 5, 2026
- HNW clients · 60 to 65Sep 4, 2025 to Mar 5, 2026
- Individual clients · 90 to 86Sep 4, 2025 to Mar 5, 2026
- Pension plan clients · 0.0 to unsetSep 4, 2025 to Mar 5, 2026
- Assets in custody · $2.9M to $2.7MSep 4, 2025 to Mar 5, 2026
- Discretionary RAUM · $0 to $101MSep 4, 2025 to Mar 5, 2026
- HNW RAUM · $101M to $114MSep 4, 2025 to Mar 5, 2026
- Individual RAUM · $33.5M to $38.2MSep 4, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $135M to $59.8MSep 4, 2025 to Mar 5, 2026
- Pension RAUM · $0 to $6.3MSep 4, 2025 to Mar 5, 2026
- RAUM · $135M to $161MSep 4, 2025 to Mar 5, 2026
- Accounts · 388 to 415Mar 6, 2024 to Mar 17, 2025
- Advisory activities · 4 to 3Mar 6, 2024 to Mar 17, 2025
- Charity clients · 0.0 to unsetMar 6, 2024 to Mar 17, 2025
- HNW clients · 48 to 60Mar 6, 2024 to Mar 17, 2025
- Individual clients · 96 to 90Mar 6, 2024 to Mar 17, 2025
- Assets in custody · $3.3M to $2.9MMar 6, 2024 to Mar 17, 2025
- Financial planning clients · 101-250 to 101-250Mar 6, 2024 to Mar 17, 2025
- Other offices · 0 to 1Mar 6, 2024 to Mar 17, 2025
- HNW RAUM · $78.2M to $101MMar 6, 2024 to Mar 17, 2025
- Individual RAUM · $42.4M to $33.5MMar 6, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $121M to $135MMar 6, 2024 to Mar 17, 2025
- RAUM · $121M to $135MMar 6, 2024 to Mar 17, 2025
- Accounts · 188 to 388Feb 29, 2024 to Mar 6, 2024
- Accounts · 395 to 188Sep 14, 2023 to Feb 29, 2024
- Corporate clients · 5.0 to unsetSep 14, 2023 to Feb 29, 2024
- HNW clients · 59 to 48Sep 14, 2023 to Feb 29, 2024
- Individual clients · 153 to 96Sep 14, 2023 to Feb 29, 2024
- Assets in custody · unset to 3274050.0Sep 14, 2023 to Feb 29, 2024
- Custody of client assets · false to trueSep 14, 2023 to Feb 29, 2024
- HNW RAUM · $70.1M to $78.2MSep 14, 2023 to Feb 29, 2024
- Individual RAUM · $45.0M to $42.4MSep 14, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $119M to $121MSep 14, 2023 to Feb 29, 2024
- RAUM · $119M to $121MSep 14, 2023 to Feb 29, 2024
- Accounts · 345 to 395Feb 28, 2022 to Mar 24, 2023
- HNW clients · 50 to 59Feb 28, 2022 to Mar 24, 2023
- Individual clients · 73 to 153Feb 28, 2022 to Mar 24, 2023
- HNW RAUM · $80.4M to $70.1MFeb 28, 2022 to Mar 24, 2023
- Individual RAUM · $37.4M to $45.0MFeb 28, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $122M to $119MFeb 28, 2022 to Mar 24, 2023
Signals
1 dated events
- T•• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 20, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 425-670-9162reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-776-0446reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/tfs-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tfsadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (425) 776-0446reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- tfsadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- tfsadvisors.com/who-we-are/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $80.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026