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TD PRIVATE CLIENT WEALTH LLC

dba TD PRIVATE CLIENT WEALTH LLC · CRD 164484 · Registered Investment Adviser

Criminal disclosureRegulatory disclosure

TD PRIVATE CLIENT WEALTH LLC is a Registered Investment Adviser headquartered in NEW YORK, NY. The firm reports $8,574,585,303 in regulatory assets under management across 25,698 accounts. It reports 8 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory).

Regulatory assets under management

Discretionary$8,574,585,303
Non-discretionary$0
Total RAUM$8,574,585,303
Accounts25,698

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 8 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 164484. adviserinfo.sec.gov/firm/summary/164484.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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