T
Tax & Financial Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$30,000,000
Clients
25
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
25
TypicalAverage account size
$1,200,000
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
Financial planning
Portfolio management
Newsletters or periodicals
Educational seminars or workshops
Expertise
Annuities
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 location
Tax & Financial Management
1870 The Exchange, Suite 200
Atlanta GA 30339, United States
Number of offices
1
Most active in
Tax & Financial Management has reported serving >5 clients in these states in the last 12 months.
Georgia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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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