← Tributary

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

HANOVER, NH · CRD 126670 · IAPD ↗ · 603-643-1415

$137.5MRegulatory AUM
1Advisory reps
1Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
December 2024 — MICHAEL D. TAXMAN INVESTMENT MANAGEMENT notice-filed in CA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
December 2024 — MICHAEL D. TAXMAN INVESTMENT MANAGEMENT now reports custody of client assets ($45.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
September 2024 — MICHAEL D. TAXMAN INVESTMENT MANAGEMENT (HANOVER, NH) is newly SEC-registered with $104.6M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.