Broker-dealer firm · New York, NY
TD Private Client Wealth LLC
SEC-registered investment adviser · CRD 164484 · SEC 801-77771
At a glance
TD Private Client Wealth LLC is an SEC-registered investment adviser based in New York, New York, with $8.6 billion in regulatory assets under management as of its Form ADV filed August 13, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 25,351 individual clients. By Form ADV it is a broker-dealer firm, ranked 75th of 391 broker-dealer firms and 1,506th of 17,210 SEC-registered advisers by assets.
Main office 877-703-9896td.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $8.6B
- Rank among broker-dealer firms
- #75 of 391
- Rank among all SEC RIAs
- #1,506 of 17,210
- Rank in New York
- #387 of 2,591
- Individual clients
- 25,351
- High-net-worth clients
- 1,518
- Accounts
- 25,698
- Discretionary
- 100% of AUM
- Employees
- 671
- Advisory staff
- 482
- Offices
- 222
Owners and executives on its Form ADV
- Alan J ChabotCEO & Director
- Nayra Calderon NajeraCCO
- Robert BegunPresident & Director
- Anna CarrollCOO & Director
- Jonathan SnyderCFO and Financial and Operations Principal
Custody and brokerage
Broker-dealer
Hybrid RIA
TD Private Client Wealth LLC is a hybrid RIA: 514 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: TD Financial Products LLC, TD Securities (USA) LLC and TD Securities Inc..
- TD Financial Products LLC ↗CRD 154838
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, December 2025
- TD Securities (USA) LLC ↗CRD 18476
- TD Securities Inc.
Its Form ADV brochure (filed June 2026) names TD Private Client Wealth as the broker-dealer its advisers are registered with.
Institutional Clients work with a dedicated Advisor who is dually registered as an investment adviser representative and a registered representative of TDPCW and provides advice and recommendations on investment advisory accounts that may b
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,518 | $3.8B | 44% |
| Individuals | 23,833 | $3.1B | 36% |
| Corporations or other businesses | 184 | $562M | 7% |
| Charitable organizations | 110 | $443M | 5% |
| Other investment advisers | – | $319M | 4% |
| Pension and profit sharing plans | 32 | $200M | 2% |
| Insurance companies | 7 | $177M | 2% |
| Banking or thrift institutions | 1 | $20M | <1% |
| State or municipal government entities | – | $2M | <1% |
Disciplinary disclosures
TD Private Client Wealth LLC answers yes to 32 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗td.com ↗
AtlasMembers
The full record on TD Private Client Wealth LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 75 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 6Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does TD Private Client Wealth LLC manage?
TD Private Client Wealth LLC reports $8.6 billion in regulatory assets under management across 25,698 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 13, 2026.
What kind of firm is TD Private Client Wealth LLC?
TD Private Client Wealth LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are TD Private Client Wealth LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($3.8 billion, 1,518 clients); individuals ($3.1 billion, 23,833 clients); corporations or other businesses ($562 million, 184 clients).
Does TD Private Client Wealth LLC have any disciplinary history?
TD Private Client Wealth LLC answers yes to 32 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is TD Private Client Wealth LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-13), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →