State-registered wealth management firm Broker-dealer affiliated
T & M Financial Inc.
As of its Form ADV filed April 2, 2026, T & M Financial Inc., a state-registered, broker-dealer affiliated wealth management firm in Topeka, Kansas, reported no regulatory assets under management.
Registration
- Registration
- State-registered, Approved
- CRD number
- 291786
- SEC file number
- None (state-registered)
- Registered since
- May 10, 2018
- Latest Form ADV filing
- April 2, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $0
- Discretionary
- $0
- Non-discretionary
- $0
- Accounts
- 0 (0 discretionary)
- Clients
- Not reported
- Employees
- 3
- Advisory staff
- 3 performing investment advisory functions
- Average account
- Not reported
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
| Ranking | Nationally | In Kansas | Value |
|---|---|---|---|
| Wealth firms with the most advisory staff, including broker-dealer firms | #5,121 | #79 | 3 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $0 |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) fewer than 5 clients | $0 | |
| High net worth individuals fewer than 5 clients | $0 | |
| Pension and profit sharing plans fewer than 5 clients | $0 | |
| Corporations or other businesses fewer than 5 clients | $0 |
How the firm is paid
- Hourly charges
Advisory services
- Financial planning
- Pension consulting
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 3
- Also registered through a broker-dealer
- 3
- Employees who are IARs (Form ADV 5.B(3))
- 3
0 of the firm's 3 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Kansas
| Firm | City | RAUM |
|---|---|---|
| Enlightnu Wealth LLC | Overland Park | $0 |
| Critical Capital LLC | Leawood | $0 |
| Baumont Capital LLC | Wichita | $0 |
| Prairie View Financial LLC | Montezuma | $0 |
| Unclipped Capital LLC | Overland Park | $0 |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- T & M Financial Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.t-mfinancial.com
- Wealth management firms in Kansas
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.