TD PRIVATE CLIENT WEALTH LLC

Latest filing: Jan 31, 2025 (127 days ago)

View on IAPD

Adviser Website

AUM

$6,450,375,507

-47% change vs. 1 year ago

15% change vs. 3 years ago

50% change vs. 5 years ago

1078% change vs. 10 years ago

Employee Count

662

4% change vs. 1 year ago

29% change vs. 3 years ago

185% change vs. 5 years ago

176% change vs. 10 years ago

Main Office

NEW YORK, NY

1 VANDERBILT AVENUE, NEW YORK, NY, UNITED STATES, 10017

Client AUM

Discretion	AUM
Discretionary	$6.5
Non-Discretionary	$0.0
Total	$6.5

Client	AUM
Retail	$5.3
Pooled	$0.0
Institutional	$1.2
Total	$6.5

Retail	Accounts	AUM
Individual	16,316	$2.3
Average Individual AUM		$140,004
HNW	1,238	$3.0
Average HNW AUM		$2,419,208
Retail Total	17,554	$5.3
Average Retail AUM		$300,746

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian	Location	AUM
PERSHING LLC	JERSEY CITY-NJ-USA	$2.7

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown	AUM
Total SMA AUM	$6.5
Retail SMA AUM	$5.3
Institutional SMA AUM	$1.2

Asset Class	%	AUM
Equity Exch	76%	$4.9
Equity Non-Exch	0%	$0.0
Govt Agency	5%	$0.3
Municipal	11%	$0.7
Sovereign	0%	$0.0
IG Credit	5%	$0.3
HY Credit	0%	$0.0
Derivatives	0%	$0.0
Investment Companies	0%	$0.0
Other Pools	0%	$0.0
Cash	3%	$0.2
Other	0%	$0.0
Total	100%	$6.5

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates	AUM	Business Types	CRD Number
EPOCH INVESTMENT PARTNERS, INC.	$33.1		131556
TD WEALTH MANAGEMENT SERVICES, INC.	$0.0		-
TORONTO-DOMINION BANK	$0.0		-
TD SECURITIES (USA) LLC	$0.0	broker-dealer	18476
TD SECURITIES AUTOMATED TRADING LLC	$0.0	broker-dealer	154838
TD ASSET MANAGEMENT INC.	$0.0		-
TD SECURITIES INC.	$0.0	broker-dealer	-
TD BANK, NATIONAL ASSOCIATION	$0.0		-

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

9 active

Name	Title
THOMPSON, KENNETH GERARD IAPD Broker	CEO
ROSENTHAL, RICHARD SETH IAPD Broker	CFO & FINOP
SCHAUTZ, JOHN LOUIS III IAPD Broker	COO
SUNDRAM, JEFFREY JOSEPH RODRIGUES IAPD Broker	CCO
BEAM, JAMES HENRY JR. IAPD Broker	PRESIDENT

ADVDB.CO • SOURCE: SEC

Representatives

430 active representatives found, showing 20 random

Name	City	State	Exams	Designations
KYLE MEEK	NEW YORK	NY	S63\|1999-02-09\|S65\|1999-12-01
ALEJANDRO BEGUIRISTAIN	NEW YORK	NY	S63\|2012-04-26\|S65\|2014-01-13
DANIEL BREMEN	NEW YORK	NY	S63\|2010-02-25\|S65\|2017-05-01
ANTHONY PAPARELLA	NEW YORK	NY	S63\|2003-11-21\|S65\|2007-11-14
VICTOR CONTENTE	NEW YORK	NY	S66\|2014-05-13
BRYAN MINERVA	NEW YORK	NY	S65\|2020-09-09
YUTONG HUANG	NEW YORK	NY	S63\|2009-10-14\|S66\|2018-03-15
RAZA ELAHI	NEW YORK	NY	S65\|2022-08-05
ALEX PALOMINO	NEW YORK	NY	S65\|2022-10-20
MOHAMMED ISLAM	NEW YORK	NY	S65\|2021-05-11
LUCAS LEGLER	NEW YORK	NY	S66\|2018-02-12
JENNIFER CUTE	NEW YORK	NY	S63\|2018-05-10	CHARTERED FINANCIAL ANALYST
STEPHEN BORNET	NEW YORK	NY	S63\|2008-01-11\|S66\|2012-08-10
OMOR ELAHI	NEW YORK	NY	S65\|2020-11-02
JULIO MACARIO	NEW YORK	NY	S66\|2018-05-08
PATRICK MEEHAN	NEW YORK	NY	S63\|2009-08-06\|S66\|2013-02-22
CODY MORRIS	NEW YORK	NY	S66\|2024-01-08
TYLER ASH	NEW YORK	NY	S66\|2020-08-14
BROOKS GLOVINS	NEW YORK	NY	S66\|2021-08-02
NICHOLAS ROUNDS	NEW YORK	NY	S66\|2005-02-21

ADVDB.CO • SOURCE: SEC

History

Date	AUM	AUM ∆	AUM % ∆	Empl	Empl ∆	Empl % ∆
2025-05-02	$6.5	$0.0	0%	662	0	0%
2025-04-21	$6.5	$0.0	0%	662	0	0%
2024-04-02	$12.3	-$5.8	-47%	637	25	4%
2023-04-04	$4.7	$1.8	38%	580	82	14%
2022-04-01	$5.6	$0.8	15%	513	149	29%
2021-04-05	$4.8	$1.6	34%	322	340	106%
2020-04-01	$4.3	$2.2	50%	232	430	185%
2019-04-01	$3.2	$3.2	99%	262	400	153%
2018-04-02	$2.7	$3.8	139%	231	431	187%
2017-04-01	$1.8	$4.7	261%	240	422	176%
2016-04-01	$1.1	$5.4	508%	208	454	218%
2015-04-01	$0.5	$5.9	1078%	240	422	176%
2014-04-01	$0.1	$6.3	6176%	243	419	172%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS

NY, AK-04/12/2013, AL-04/12/2013, AR-04/12/2013, AZ-04/12/2013, CA-04/12/2013, CO-04/12/2013, CT-04/11/2013, DC-04/11/2013, DE-04/11/2013, FL-04/11/2013, GA-04/12/2013, HI-04/12/2013, IA-04/12/2013, ID-04/12/2013, IL-04/16/2013, IN-04/12/2013, KS-04/12/2013, KY-04/12/2013, LA-04/12/2013, MA-04/11/2013, MD-04/11/2013, ME-04/11/2013, MI-04/12/2013, MN-04/12/2013, MO-04/12/2013, MS-04/12/2013, MT-04/12/2013, NC-04/11/2013, ND-04/12/2013, NE-04/12/2013, NH-04/11/2013, NJ-05/10/2013, NM-04/12/2013, NV-04/12/2013, NY-04/11/2013, OH-04/12/2013, OK-04/12/2013, OR-04/12/2013, PA-04/11/2013, RI-04/11/2013, SC-04/11/2013, SD-04/12/2013, TN-04/12/2013, TX-04/12/2013, UT-04/12/2013, VA-04/11/2013, VT-04/11/2013, WA-04/12/2013, WI-04/12/2013, WV-04/12/2013, WY-01/26/2018

ADVISER ACTIVITIES

FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
NEWSLETTERS
EDUCATIONAL WORKSHOPS

OTHER ACTIVITIES

BROKER DEALER

ADVDB.CO • SOURCE: SEC FORM ADV