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TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC
CRD 153092File 801-121016
APPROVED
Retail clients
Filing as of Mar 19, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$113.7M
Bottom 25% of cohort (national)
Discretionary AUM
$113.7M
Clients
29
76 accounts
Employees
3
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- May 28, 2021
- Principal office
- Not reported
- Phone
- 202-841-2867
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $113.7M
- Discretionary AUM
- $113.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 76
- Non-discretionary accounts
- 0
- Total accounts
- 76
- AUM per client
- $3.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $2.5M |
| Charitable organizations | Fewer than 5 | $1.4M |
| High net worth individuals | 22 | $109.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- 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 |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 39 | 29 | decreased by10 |
| Apr 1, 2026 | AUM | $108,916,746 | $113,653,909 | increased by$4,737,163 |
| Apr 1, 2026 | Accounts | 75 | 76 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 99 | 39 | decreased by60 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $212,882,010 | $108,916,746 | decreased by$103,965,264 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 99 | 75 | decreased by24 |
| Apr 1, 2022 | Clients | 96 | 99 | increased by3 |
| Apr 1, 2022 | AUM | $132,008,330 | $212,882,010 | increased by$80,873,680 |
| Apr 1, 2022 | Accounts | 96 | 99 | increased by3 |
| Jun 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 “TOLLEFSON COMPANY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“TOLLEFSON COMPANY” 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.