SourcingSourcing

TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC

A75
CRD 153092·SEC 801-121016
AUM
$113.7M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$341K
@ 30% margin
Est. Deal Value
$2.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC
CRD
153092
SEC file #
801-121016
EIN
—
DBA names
—

Economics

AUM
$113.7M
AUM band
$100M-$500M
AUM trajectory
'22'26
$132.0M → $113.7M▼ -14%
Client mix
Individuals High Net Worth22
Corporations5
Charitable Organizations2

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'22'26
1 advisors → 1 advisors▬ 0%
Primary office
—
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/19/2026
ADV-W filed at
—
Website
tollefsoncompany.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TOLLEFSON, KIRSTEN, NMN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
TOLLEFSON, KIRSTEN, NMN
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
TOLLEFSONCOMPANY.COM
Rdap Domain Creation Date
2018-05-10T17:39:33Z
Rdap Firm Age Years
8
Rdap Firm Age Band
5-10y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Rdap Domain Expiration Date
2028-05-10T17:39:33Z
Rdap Domain Last Changed
2023-03-11T08:04:16Z
Rdap Nameservers
Ns87.worldnic.comNs88.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2038905
Trust Company Affiliate
No

People (1)

1
TOLLEFSON, KIRSTEN, NMN
IAR · Direct Owner · 87.5%
2038905