9AT: THE FIRM INCORPORATED

THE FIRM INCORPORATED

THE FIRM INCORPORATED

Adviser Profile

As of Date	05/03/2024
Registration status	Terminated
Contact Info	720 xxxxxxx

AUM^*	135,000,000
of that, discretionary	135,000,000
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	135,000,000
% High Net Worth	100.00%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Performance-based fees

Reported AUM

135M 116M 96M 77M 58M 39M 19M

2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Firm Description TFI, Inc (“TFI” or “Adviser”) is an SEC-registered investment adviser. TFI was founded in June 2022. The Principal Owner and Chief Compliance Officer of TFI is Mark Pacheco. Types of Advisory Services TFI offers various services, including portfolio management, investment analysis, and financial planning for high net-worth individuals and institutional clients TFI offers these services to clients or potential clients (“clients”). Investment Advisory Services TFI specializes in quantitative, fundamental, technical, and economic analysis to determine what investments favor TFI’s investment models. TFI assesses clients ’current holdings and ensures alignment with short- and long-term goals. TFI reviews investment performance and portfolio exposure to market conditions. Accordingly, TFI is authorized to perform various functions without further approval from the client, such as determining securities to be purchased or sold without prior permission from the client for each transaction. All trades are made in the client's best interest as part of TFI’s fiduciary duty. However, risk is inherent to any investment strategy and model. Therefore, TFI does not guarantee any results or returns. Before engaging TFI to provide any investment advisory services, TFI requires a written financial service agreement ( “FSA”) signed by the client before the engagement of any services. The FSA will outline the services to which the client is entitled and the fees the client

will incur. TFI is an asset-based fee investment management firm. TFI does not receive commissions for purchasing or selling stocks, bonds, mutual funds, real estate investment trusts, or other client- commissioned products. TFI is not affiliated with entities that sell financial products or securities. No commissions in any form are accepted. TFI does not act as a custodian of client assets. The client always maintains asset control. TFI places trades for clients under a limited power of attorney through a qualified custodian/broker. Financial Planning Services Financial planning may include but is not limited to: investment planning, insurance planning, retirement planning, education planning, and debt/credit planning. These services are based on a fixed fee; the final fee structure is documented in the Financial Planning Agreement. Services Tailored to Clients’ Needs Services are provided based on a client’s specific needs within the scope of the services discussed above. A review of the information provided by the client regarding the client’s current financial situation, goals, and risk tolerances will be performed, and advice that is in line with available information will be provided. Wrap Fee Program versus Portfolio Management Program TFI does not offer a Wrap Fee Program. Assets Under Management As of December 31st, 2022, Adviser has the following assets under management: Discretionary assets: $135,000,000 Non-discretionary assets: $0