Tfo Tdc, LLC (Maumee)

Name: Tfo Tdc, LLC
Address: 1440 Arrowhead Drive, Maumee, OH, 43537
Telephone: 419-891-9999

Tfo Tdc, LLC is a large advisory firm based in Maumee. It manages $2.18 billion of regulatory assets for 3,887 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Alabama, Arizona, California, and 19 other states.

Tfo Tdc provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and family office services & financial consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Tfo Tdc: assets under management

The assets under management (AUM) of Tfo Tdc, LLC is $2.18 billion. The firm's AUM has grown by 4979% since the beginning of its operation, and $2.05 million of the total AUM is attributable to clients outside of the United States.

The firm manages $2.14 billion in discretionary accounts and $31.87 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $557.3 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $777.36 thousand.

Tfo Tdc has custody of $319.28 million in cash and securities for 373 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 73% of the total AUM. The second-largest asset type is exchange traded securities, which make up 12% of the firm’s portfolio. Investments in state and local bonds form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tfo Tdc, LLC 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 Brady Michael Fineske serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Brady Michael Fineske is high net worth individuals with 288 clients and $1.52 billion of assets under management. Among the 7 most similar advisory firms, Tfo Tdc has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $2.18 billion for 1,336 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Tfo Tdc doesn't advise any private funds.

Careers at Tfo Tdc, LLC

The company employs 50 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 27 employees are registered as investment adviser representatives with the state securities authorities.

There are 8 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Brady Michael Fineske has been acting as President since 1 Nov 2015. Adele Marie Sobieszczanski joined the executive team most recently as the Executive Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Trustee Of The Christopher E Erblich Revocable Trust U/A Dated 12/1/98 Christopher E Erblich	Member	1 May 2006	50% - 75%	xxx-xx-xxxx
Christopher Edward Erblich	Member	1 Jan 2009	Other	4731912
Cleves Richard Delp	Managing member	1 Dec 2009	Other	2368975
Msjmr 2008 Irrevocable Trust	Member	1 Dec 2009	50% - 75%	271708647
Patrick Walter Boyle	Chief compliance officer	1 Dec 2009	Other	5295396
Lorraine C. Erblich Revocable Trust 12/1/98	Member	1 May 2012	50% - 75%	xxx-xx-xxxx
Erblich Family Irrevocable Trust 11/30/12	Member	1 Dec 2012	50% - 75%	49-1844241
Brady Michael Fineske	President	1 Nov 2015	Other	4509147
Christopher David Tracey	Chief compliance officer	1 Sep 2016	Other	6695118
Robert V Bowers	Coo	1 Jun 2017	Other	6832566
Robert Vernon Bowers	Coo	1 Jun 2017	Other	6832566
Adele Marie Sobieszczanski	Executive vice president	1 Jul 2017	Other	4429167

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Christopher Edward Erblich	Trustee	1 Dec 1998	Other	4731912
Cleves Richard Delp	Trustee	1 Dec 2008	Other	2368975
Lorraine Catherine Erblich	Co-trustee	1 May 2012	Other	6071240
Christopher Edward Erblich	Trustee	1 Nov 2012	Other	4731912

Based in Maumee

The principal office where Tfo Tdc, LLC performs its advisory services is located at 1440 Arrowhead Drive, Maumee, OH 43537, which is also the mailing address of the firm. An additional office of the firm is in Phoenix, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 419-891-9999 or by fax 419-891-9993. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at tdccompanies.com.