TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC
Adviser information for TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 38 | $95.6M |
| Non-Discretionary | 0 | $0 |
| Total | 38 | $95.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 34 | $91.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $1.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-121016 |
|---|---|
| SEC ERA File Number | 801-121016 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153092 |
| Legal Entity Identifier | None |
Principal Office
3907 BALCONES DRIVEAUSTIN
TX
United States
Monday - Friday, BY APPOINTMENT
Tel: 202-841-2867, Fax: 202-315-3253
Websites
Chief Compliance Officer
KIRSTEN TOLLEFSON
CEO
PO BOX 96503
#45773
WASHINGTON
DC
United States
Tel:
202-841-2867
Fax:
202-315-3253
K*********@*******************M
(Full email address available in API data)
Regulatory Contact
KIRSTEN TOLLEFSON
CEO
113 CHERRY STREET
#45773
SEATTLE
WA
United States
Tel:
202-841-2867
Fax:
202-315-3253
K*********@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TOLLEFSON, KIRSTEN, NMN | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF PORTFOLIO MANAGER | 02/2010 | > 75% |