{
  "crd_number": 106125,
  "slug": "td-capital-management-llc-memphis-tn-106125",
  "primary_business_name": "TD CAPITAL MANAGEMENT LLC",
  "legal_name": "TD CAPITAL MANAGEMENT LLC",
  "dbas": [
    "TD CAPITAL"
  ],
  "city": "Memphis",
  "state": "TN",
  "country": "United States",
  "cbsa_code": "32820",
  "metro": {
    "cbsa_code": "32820",
    "common_name": "Memphis",
    "msa_name": "Memphis, TN-MS-AR",
    "path": "/advisors/tn/memphis"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1996-09-16",
  "years_registered": 30,
  "period": "2026-10-01",
  "filing_date": "2026-08-26",
  "carried_forward": false,
  "raum_total": 1244462434.0,
  "raum_discretionary": 1244462434.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 13,
  "advisory_employees": 8,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": null
    },
    "charitable": {
      "raum": 15316513.0,
      "count": 5
    },
    "individuals": {
      "raum": 90362924.0,
      "count": 195
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": null
    },
    "state_municipal": {
      "raum": 0.0,
      "count": null
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": null
    },
    "investment_companies": {
      "raum": 0.0,
      "count": null
    },
    "pension_profit_sharing": {
      "raum": 186290.0,
      "count": 1,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": null
    },
    "high_net_worth_individuals": {
      "raum": 1138596707.0,
      "count": 250
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": null
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": null
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": null
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": null
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AL",
    "AR",
    "CA",
    "FL",
    "GA",
    "LA",
    "MD",
    "MS",
    "NE",
    "NY",
    "SC",
    "TN",
    "TX",
    "VA"
  ],
  "websites": [
    "https://linkedin.com/company/td-capital-management-llc/about",
    "https://tdcapitalmanagement.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106125",
  "city_as_filed": "MEMPHIS",
  "url": "https://advisorcensus.com/firm/td-capital-management-llc-memphis-tn-106125",
  "display_name": "TD Capital Management LLC",
  "summary": "TD Capital Management LLC is an SEC-registered investment advisory firm in Memphis, TN, registered since 1996, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 26, 2026.",
  "citation": "AdvisorCensus. TD Capital Management LLC (CRD 106125): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is TD Capital Management LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), TD Capital Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does TD Capital Management LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated August 26, 2026 states: Hourly rate: $300 to $375 an hour (financial planning fees); Flat fee: $1,000 to $3,000 (financial planning fees). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is TD Capital Management LLC located?",
      "a": "TD Capital Management LLC's principal office is in Memphis, TN, according to its Form ADV."
    },
    {
      "q": "Is TD Capital Management LLC registered with the SEC or a state?",
      "a": "TD Capital Management LLC is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 106125."
    },
    {
      "q": "How much does TD Capital Management LLC manage?",
      "a": "TD Capital Management LLC reports $1,244,462,434 in regulatory assets under management in its Form ADV filing dated August 26, 2026 (100% discretionary)."
    },
    {
      "q": "How have TD Capital Management LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for TD Capital Management LLC: Regulatory assets under management: $801,669,868 in the October 2021 data and $1,244,462,434 in the October 2026 data, up 55%. Total employees: 13 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does TD Capital Management LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (250); individuals (other than high net worth individuals) (195); charitable organizations (5)."
    },
    {
      "q": "Which custodians does TD Capital Management LLC use?",
      "a": "TD Capital Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does TD Capital Management LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106125"
    },
    {
      "q": "What changed in TD Capital Management LLC's recent Form ADV filings?",
      "a": "In the September 2026 filing data: Employees performing advisory functions went from 9 to 8."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 801669868.0,
      "total_employees": 13,
      "filing_date": "2021-03-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 961228330.0,
      "total_employees": 12,
      "filing_date": "2022-02-03"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 845744960.0,
      "total_employees": 13,
      "filing_date": "2023-03-09"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 970984030.0,
      "total_employees": 13,
      "filing_date": "2024-02-13"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1087661161.0,
      "total_employees": 14,
      "filing_date": "2025-02-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1244462434.0,
      "total_employees": 13,
      "filing_date": "2026-08-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Employees performing advisory functions went from 9 to 8."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $1,087,661,161 to $1,244,462,434 (+14%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in CO."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated August 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $300 to $375 an hour (financial planning fees)",
      "Flat fee: $1,000 to $3,000 (financial planning fees)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $300 to $375 an hour (financial planning fees)"
        ],
        "quotes": [
          "On an hourly basis ranging from $300 to $375 per hour."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $1,000 to $3,000 (financial planning fees)"
        ],
        "quotes": [
          "As a fixed fee, typically ranging from $1,000 to $3,000, depending on the nature and complexity of the engagement"
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 300.0,
          "max": 375.0,
          "period": "hour",
          "service": "financial planning fees"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": 1000.0,
          "max": 3000.0,
          "period": "one_time",
          "service": "financial planning fees"
        }
      ]
    },
    "quotes": [
      "On an hourly basis ranging from $300 to $375 per hour.",
      "As a fixed fee, typically ranging from $1,000 to $3,000, depending on the nature and complexity of the engagement"
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/td-capital-management-llc-memphis-tn-106125.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 195,
      "fewer_than_5": false,
      "raum": 90362924.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 250,
      "fewer_than_5": false,
      "raum": 1138596707.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 1,
      "fewer_than_5": true,
      "raum": 186290.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 5,
      "fewer_than_5": false,
      "raum": 15316513.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106125",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}