TD Private Client Wealth LLC

Broker-DealerFINRA MemberEst. 2013
Total AUM
$8.6B
Discretionary
$8.6B
100% of AUM
Accounts
25,698
Employees
671
Advisory reps
663
Brokerage reps
514

Firm details

Headquarters
New York, New York
CRD number
164484
Registered since
April 11, 2013
Website
www.td.com
Custodians
PERSHING LLC
Fee structure
Percentage of AUM
Client types
  • HNWI43.98%
  • Individuals35.92%
  • Corporations / Businesses6.55%
  • Charitable Organizations5.17%
  • Other Investment Advisers3.72%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

TD Private Client Wealth LLC operates as an insurance broker-dealer that also provides advisory and wealth-planning services to both individual and institutional clients. The firm offers fee arrangements based on a percentage of assets under management and markets a mix of financial planning, discretionary portfolio management for individuals, small businesses and institutions, pension consulting, third-party manager selection, and investor education through publications and seminars. The firm describes itself as an active ESG investor and maintains affiliations across broker-dealer, banking, trust, insurance, and pooled-vehicle sponsor/manager roles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 53%, Public Funds/Mutual Funds 24%, State & Local Bonds 9%, US Government Bonds 5%, Investment Grade Corp Bonds 5%, Cash & Cash Equivalents 4%53%
  • Exchange Traded Equities53%
  • Public Funds/Mutual Funds24%
  • State & Local Bonds9%
  • US Government Bonds5%
  • Investment Grade Corp Bonds5%

Contacts

3 of 663
  • Steven Wallace

    Steven Wallace

    Private Client Investment AdvisorCRD 5654259

  • Ramon Hernandez

    Investment ConsultantCRD 5736892

  • Daniel Bremen

    Daniel Bremen

    Relationship ManagerCRD 5743256

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 623

Active vs passive

$9.6B in ETFs

Passive

77%

$7.4B

Active

1%

$2.2B

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM)State Street$484M5,508,8625.03%
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Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
1 Vanderbilt Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth