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TIMOTHY J. ELLIS, INC.
CRD 126188File 801-80511
APPROVED
Retail clients
Filing as of Mar 28, 2024
Feed vintage Oct 1, 2026
Regulatory AUM
$87.2M
Bottom 25% of cohort (national)
Discretionary AUM
$87.2M
Non-discretionary $70K
Clients
200
200 accounts
Employees
1
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Nov 7, 2014
- Principal office
- Not reported
- Phone
- 315-455-6955
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $87.2M
- Discretionary AUM
- $87.2M
- Non-discretionary AUM
- $70K
- Discretionary accounts
- 195
- Non-discretionary accounts
- 5
- Total accounts
- 200
- AUM per client
- $436K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Individuals (other than high net worth individuals) | 200 | $87.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2025 vs Oct 1, 2022 | Clients | 236 | 200 | decreased by36 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $114,219,103 | $87,238,028 | decreased by$26,981,075 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 229 | 200 | decreased by29 |
| Apr 1, 2022 | Clients | 230 | 236 | increased by6 |
| Apr 1, 2022 | AUM | $96,323,708 | $114,219,103 | increased by$17,895,395 |
| Apr 1, 2022 | Accounts | 230 | 229 | decreased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “TIMOTHY ELLIS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“TIMOTHY ELLIS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.