Tmd & Associates, Inc

CRD#113896
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Tmd & Associates, Inc operates as a financial advisor firm based in Scottsdale, Arizona. The company controls $413.0 million in assets under management over 1,111 customer accounts, making it one of the bigger firms in the country by assets under management (AUM). The firm has a small group of 10 employees, six of whom are financial advisors. Tmd & Associates, Inc does not act as a registered broker-dealer, meaning the company cannot buy and sell securities for its own accounts as well as its clients' and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal investments like options, stocks and bonds.

Tmd & Associates, Inc administers the majority of the company's accounts on a discretionary basis. Discretionary management signifies that an investment advisor has the discretion to make transaction decisions for the client's account without requiring client consent. Tmd & Associates, Inc also oversees 16 non-discretionary accounts totaling $12.1 million in assets. The company manages an average of $371,705 for every client account. The typical financial advisor at Tmd & Associates, Inc administers around 185 client accounts.

The company's headquarters is at 15333 N. Pima Road, Scottsdale, Arizona 85260. The firm is legally allowed to serve investors across a number of states, including Arizona, California, Florida, New Hampshire, Oklahoma, Texas and Washington.

Assets Under Management

$413.0 million

Number of Advisors

6

Fee Structure

Asset-based, Hourly, Fixed

Disclosures

No

Office Location

15333 N. Pima Road
Scottsdale, AZ 85260

Tmd & Associates, Inc by the Numbers

Total Assets Under Management

$413.0 million

National Average: $3.3 billion
Total Number of Employees

10

National Average: 4,943
Total Number of Accounts

1,111

National Average: 2,522
Average Account Size

$371.7 thousand

National Average: $1.3 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Tmd & Associates, Inc offers a variety of financial services, which can include financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. In the prior fiscal year, the firm provided financial planning services to 251-500 of its accounts. It does not sell products or offer services aside from investment advice to its investment advisory clients. Tmd & Associates, Inc is also affiliated with a number of other companies in the financial services industry, including with an accountant or accounting firm.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 63% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Find a firm that offers this service

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

Back to Overview

Fee Structure

Fees for financial management usually are based on which services the firm provides the client. Fees billed by the firm may include any combination of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

Available

  • Offered by 75% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 37% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 3% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Back to Overview

Types of Clients

Tmd & Associates, Inc provides services to retail investors, high net worth investors, pension plans and corporations. Out of its 1,111 accounts, Tmd & Associates, Inc's largest client group is high net worth investors, although it also serves 123 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's customers reside abroad.

  • High-Net-Worth Individuals* - 45.05%
  • Other Individuals - 38.1%
  • Corporations - 16.85%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Tmd & Associates, Inc does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

This content was compiled from the SEC and FINRA