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MKT AND ASSOCIATES LLC

TACOMA, WA · CRD 329889 · IAPD ↗ · mktandassociates.com · 253-252-2359

$378.7MRegulatory AUM
3Advisory reps
6Employees
0Clients
51-100Planning clients
0Private funds
5States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
October 2026 — MKT AND ASSOCIATES LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
March 2026 — MKT AND ASSOCIATES LLC reported RAUM up 37% ($275.5M -> $378.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
March 2026 — MKT AND ASSOCIATES LLC reports 51-100 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
March 2026 — MKT AND ASSOCIATES LLC grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
January 2026 — MKT AND ASSOCIATES LLC notice-filed in NC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
January 2026 — MKT AND ASSOCIATES LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
73
March 2025 — MKT AND ASSOCIATES LLC reported RAUM up 144% ($113.0M -> $275.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
44
October 2024 — MKT AND ASSOCIATES LLC notice-filed in FL, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
October 2024 — MKT AND ASSOCIATES LLC moved its main office from FEDERAL WAY, WA to TACOMA, WA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
45
September 2024 — MKT AND ASSOCIATES LLC moved its main office from CAVE CREEK, AZ to FEDERAL WAY, WA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
50
September 2024 — MKT AND ASSOCIATES LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
58
September 2024 — MKT AND ASSOCIATES LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
September 2024 — MKT AND ASSOCIATES LLC now reports custody of client assets ($45.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
September 2024 — MKT AND ASSOCIATES LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
March 2024 — MKT AND ASSOCIATES LLC (CAVE CREEK, AZ) is newly SEC-registered (provisional 120-day approval) with $0 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.