Tax & Financial Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Tax & Financial Management provides ongoing portfolio management and related financial services to individual clients, including high‑net‑worth individuals. The brochure reports approximately $30 million in discretionary assets under management across about 25 clients and an account minimum of $400,000 (which may be waived).
TFM generally limits its recommendations to mutual funds, insurance products (including annuities), equities and ETFs, with a primary emphasis on equities. Investment decisions are guided by written Investment Policy Statements and use both fundamental and technical analysis in a long‑term trading approach; the firm typically seeks discretionary authority and clients receive quarterly custodian reports.
The brochure discloses that the owner is a licensed insurance agent who may offer commission‑based insurance products to clients, which can create a potential conflict with the firm’s fiduciary obligations. It also describes receipt of Schwab institutional services — including access to research, practice‑management publications and Schwab‑sponsored educational events — and notes that TFM does not aggregate (block) trades for multiple client accounts, which can affect execution and allocation.
Client services
Expertise
Fee options
$400,000 - $1,000,000: 1.00% $1,000,000 - $2,000,000: 0.80% $2,000,000+: 0.75%
Commissions are received from insurance products sales as disclosed, but not for investment advisory services.
Account minimum: $400,000
Main office
1870 The Exchange, Suite 200
Atlanta GA 30339
Advisors at this office
1
Most active in
Georgia
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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