# Tollefson and Company Investment Management LLC

> Tollefson and Company Investment Management LLC is an SEC-registered investment advisory firm in Washington, DC, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.

- CRD: 153092
- Filed as: TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Washington, DC
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/153092
- AdvisorCensus page: https://advisorcensus.com/firm/tollefson-and-company-investment-management-llc-washington-dc-153092

## Quick answers

**How is Tollefson and Company Investment Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Tollefson and Company Investment Management LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Tollefson and Company Investment Management LLC located?**
Tollefson and Company Investment Management LLC's principal office is in Washington, DC, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Tollefson and Company Investment Management LLC registered with the SEC or a state?**
Tollefson and Company Investment Management LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 153092.

**How much does Tollefson and Company Investment Management LLC manage?**
Tollefson and Company Investment Management LLC reports $113,653,909 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).

**How have Tollefson and Company Investment Management LLC's assets and staff changed since 2021?**
In the Form ADV data for Tollefson and Company Investment Management LLC: Regulatory assets under management: $132,008,330 in the October 2021 data and $113,653,909 in the October 2026 data, down 14%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Tollefson and Company Investment Management LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (22); corporations or other businesses not listed above (5); charitable organizations (2).

**Which custodians does Tollefson and Company Investment Management LLC use?**
Tollefson and Company Investment Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Tollefson and Company Investment Management LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/153092

**What changed in Tollefson and Company Investment Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Added an office in Austin, TX.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $113,653,909
- Discretionary: $113,653,909
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 22 | $109,688,283 |
| Charitable organizations | 2 | $1,432,878 |
| Corporations or other businesses not listed above | 5 | $2,532,748 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2021 (5 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Austin, TX

### Websites listed on Form ADV (Item 1.I)
- [tollefsoncompany.com](https://tollefsoncompany.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $132,008,330 | 3 | May 24, 2021 |
| October 2022 | $212,882,010 | 3 | March 30, 2022 |
| October 2023 | $163,961,572 | 3 | June 7, 2023 |
| October 2024 | $95,566,724 | 3 | March 28, 2024 |
| October 2025 | $108,916,746 | 3 | March 28, 2025 |
| October 2026 | $113,653,909 | 3 | March 19, 2026 |

Regulatory assets under management: $132,008,330 in the October 2021 data and $113,653,909 in the October 2026 data, down 14%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Added an office in Austin, TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tollefson and Company Investment Management LLC (CRD 153092): Form ADV filing data as of October 2026.