TFS ADVISORY SERVICES
TFS SECURITIES, INC. Legal Name
Adviser information for TFS ADVISORY SERVICES 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 155 |
|---|---|
| Investment Advisory/Research | 115 |
| Registered Broker-Dealer Representatives | 155 |
| Registered State Investment Advisers | 115 |
| Licensed Agents of an Insurance Company | 116 |
| No. of Firms/People that Solicit Clients | 115 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,936 | $1.3B |
| Non-Discretionary | 302 | $32.8M |
| Total | 5,238 | $1.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,352 | $1.2B |
| HNW Individuals | 225 | $81.8M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 25 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 3500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 42.3M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BUY HOLD PLUS | TFS ADVISORY SERVICES |
Identifiers
| SEC RIA File Number | 801-56426 |
|---|---|
| SEC ERA File Number | 801-56426 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 20626 |
| Legal Entity Identifier | None |
Principal Office
437 NEWMAN SPRINGS RDLINCROFT
NJ
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 732-758-9300, Fax: 732-758-9418
Chief Compliance Officer
JENNETTE FRALER
VP/CCO
437 NEWMAN SPRINGS ROAD
LINCROFT
NJ
United States
Tel:
732-758-9300
Fax:
732-758-9418
J******@*********M
(Full email address available in API data)
Regulatory Contact
THOMAS P. HYLAND
PRESIDENT/OWNER/DIRECTOR
437 NEWMAN SPRINGS ROAD
LINCROFT
NJ
United States
Tel:
732-758-9300
Fax:
732-758-9418
T*******@*********M
(Full email address available in API data)
Industry Affiliates
| ESA ASOCIATES, LLC | Insurance company or agency |
| FASTCOMP, LLC | Insurance company or agency |
| FINANCIAL PLANNING CONCEPTS OF AMERICA, INC. | Other investment adviser, including financial planners |
| GOLDMAN SACHS & CO. LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| HAMOND SAFETY MANAGEMENT, LLC | Insurance company or agency |
| KEATING, LLC | Insurance company or agency |
| PACIFIC COAST NCA PREMIUM FINANCE, LLC | Insurance company or agency |
| PENSIONMARK FINANCIAL GROUP, LLC | Other investment adviser, including financial planners |
| PENSIONMARK SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SCOTTS AMERICAN, LLC | Insurance company or agency |
| TFS ADVISORY SERVICES | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| TFS ADVISORY SERVICES | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| WEALTH ADVISORY GROUP, INC. | Other investment adviser, including financial planners |
| WORLD INSURANCE ASSOCIATES, LLC | Insurance company or agency |
| WORLD INSURANCE PROGRAMS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CB CLOCKWORK PARENT, LLC | Domestic Entity | CB CLOCKWORK MIDCO, LLC | MEMBER | 10/2023 | > 75% |
| TOMORROW'S FINANCIAL SERVICES, INC. | Domestic Entity | – | PREVIOUS HOLDING COMPANY | 10/2023 | < 5% |
| FRALER, JENNETTE LEE | Individual | – | VP/CHIEF COMPLIANCE OFFICER | 02/2020 | < 5% |
| WIA CORPORATE BUYER, INC. | Domestic Entity | – | SHAREHOLDER | 10/2023 | > 75% |
| CB CLOCKWORK MIDCO, LLC | Domestic Entity | WORLD ASSOCIATES HOLDINGS, LLC | MEMBER | 10/2023 | > 75% |
| CB WORLD MANAGEMENT, LLC | Domestic Entity | CB CLOCKWORK PARENT, LLC | MEMBER | 10/2023 | 25-50% |
| CHARLESBANK EQUITY FUND IX, LP | Domestic Entity | CB CLOCKWORK PARENT, LLC | MEMBER | 10/2023 | 25-50% |
| WIA CORPORATE HOLDINGS, INC | Domestic Entity | WIA CORPORATE BUYER, INC | SHAREHOLDER | 10/2023 | > 75% |
| WORLD ASSOCIATES HOLDINGS, LLC | Domestic Entity | WIA CORPORATE HOLDINGS, INC | MEMBER | 10/2023 | > 75% |
| HYLAND, THOMAS PATRICK SR | Individual | – | PRESIDENT/DIRECTOR/FINOP/MUNI PRINCIPAL | 10/2023 | < 5% |