Tmd & Associates, Inc. (Scottsdale)

Name: Tmd & Associates, Inc.
Address: 15333 N. Pima Road, Scottsdale, AZ, 85260
Telephone: 602-279-2020

Tmd & Associates, Inc. is a large advisory firm based in Scottsdale. It manages $412.96 million of regulatory assets for 1,111 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Arizona, California, Florida, and 4 other states.

Tmd & Associates provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Tmd & Associates: assets under management

The assets under management (AUM) of Tmd & Associates, Inc. is $412.96 million. The firm's AUM has grown by 832% since the beginning of its operation, and $1.77 million of the total AUM is attributable to clients outside of the United States.

The firm manages $400.89 million in discretionary accounts and $12.08 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $366.11 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $754.88 thousand.

Tmd & Associates has custody of $10.94 million in cash and securities for 17 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 68% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 20% of the firm’s portfolio. Investments in cash and cash equivalents form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tmd & Associates, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Tmd & Associates serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Tmd & Associates is high net worth individuals with 123 clients and $300.03 million of assets under management. Among the 11 most similar advisory firms, Tmd & Associates has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $412.96 million for 273 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Tmd & Associates doesn't advise any private funds.

Careers at Tmd & Associates, Inc.

The company employs 10 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Todd Macarthur Douma	President and chief compliance officer	1 Aug 1994	75% - 100%	2401333

Based in Scottsdale

The principal office where Tmd & Associates, Inc. performs its advisory services is located at 15333 N. Pima Road, Scottsdale, AZ 85260, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 602-279-2020 or by fax 602-279-4774. The normal business hours are 7:30am-5pm on Monday - Friday. You can find more information about the New York firm at tmd-associatesonline.com.