9AT: TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC

TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC

other names

TOLLEFSON AND COMPANY INVESTMENT MANAGEMENT LLC

Adviser Profile

As of Date	03/19/2026
Adviser Type - Large advisory firm
Number of Employees	3
of those in investment advisory functions	1
Registration	SEC, Approved, 05/28/2021
Other registrations (7)	California, Terminated, 09/09/2021 Washington, Terminated, 08/23/2021 Virginia, Terminated, 08/21/2021 Maryland, Terminated, 08/16/2021 District of Columbia, Terminated, 08/10/2021 Indiana, Terminated, 08/10/2021 Texas, Terminated, 08/10/2021

AUM^*	113,653,909 4%
of that, discretionary	113,653,909 19%
Private Fund GAV^*	0
Avg Account Size	1,495,446 -41%
% High Net Worth	75.86% -15%
SMA’s	Yes
Private Funds	0
Contact Info	202 xxxxxxx
Websites

Client Types

- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

213M 182M 152M 122M 91M 61M 30M

2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Advisory Services and Fees Tollefson & Company provides investment supervisory services and 100% of advisory billings from investment supervisory services. (based on last fiscal year) T&C does not: - Manage investment advisory accounts not involving investment supervisory services - Furnish investment advice through consultations not included in either service described above - Issue periodicals about securities by subscription - Issue special reports about securities not included in any service described above - Issue, not as any part of any service described above, any charts, graphs, formulas or other devices which clients may use to evaluate securities - On a more than occasional basis, furnish advice to clients on matters not involving securities - Provide a timing service - Furnish advice about securities in any manner not described above T&C does not call any of its supervisory services as financial planning or similar term. T&C does not participate in wrap fee programs. T&C offers investment advisory services for a percentage of assets under management. T&C does not receive compensation for hourly charges, fixed fees (not including subscription fees), subscription fees, commission or other. Investment Advisory Services T&C provides Investment Advisory Services, defined as making investments on behalf of the Client or giving advice to the Client based on the individual Client investment goals, objectives and risk tolerances.

The Client’s investment objectives, goals and risk tolerances are determined through in-depth communication with the Client resulting in a client investment policy and program. The Account is managed and supervised to the Client investment policy and is altered as the Client objectives change. Clients may impose restrictions regarding investment in particular types of securities or certain securities which is noted on the T&C Investment Management Agreement and updated annually. The Client may impose these restrictions at any time and T&C’s compliance in the management of the Client portfolio as the Client communicates is immediately implemented. Clients may include individuals, trusts, estates, corporations, charitable organizations, pension and profit sharing plans. Client portfolios are managed only on a discretionary basis. As of the date of this brochure, 100% of T&C portfolios are managed on a discretionary basis and 0% on a non-discretionary basis. As of December 31, 2023, discretionary assets under management were $95,566,724. T&C is required to disclose that comparable services may be available for lower fees, and requires that all material conflicts of interest be disclosed to the Client in writing that may cause T&C and its employees to not render objective and unbiased advice. Tollefson & Company was established on January 28, 2010 as a Delaware LLC. Tollefson & Company is wholly owned (100%) by Kirsten Tollefson.