{
  "crd_number": 164484,
  "slug": "td-private-client-wealth-llc-new-york-ny-164484",
  "primary_business_name": "TD PRIVATE CLIENT WEALTH LLC",
  "legal_name": "TD PRIVATE CLIENT WEALTH LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2013-04-11",
  "years_registered": 13,
  "period": "2026-10-01",
  "filing_date": "2026-08-13",
  "carried_forward": false,
  "raum_total": 8574585303.0,
  "raum_discretionary": 8574585303.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 671,
  "advisory_employees": 482,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 443079835.0,
      "count": 110
    },
    "individuals": {
      "raum": 3080387187.0,
      "count": 23833
    },
    "banking_thrift": {
      "raum": 20036063.0,
      "count": 1,
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": 2199431.0,
      "count": null,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 176956565.0,
      "count": 7
    },
    "investment_companies": {
      "raum": 0.0,
      "count": null
    },
    "pension_profit_sharing": {
      "raum": 200406818.0,
      "count": 32
    },
    "other_investment_advisers": {
      "raum": 318639953.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 3771047121.0,
      "count": 1518
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": null
    },
    "corporations_other_businesses": {
      "raum": 561832330.0,
      "count": 184
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": null
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": null
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "pension_consulting",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 8,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://linkedin.com/showcase/td-wealth-us",
    "https://td.com/us/en/investing"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/164484",
  "disclosure_items": [
    {
      "item": "11.A(1)",
      "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?"
    },
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/td-private-client-wealth-llc-new-york-ny-164484",
  "display_name": "TD Private Client Wealth LLC",
  "summary": "TD Private Client Wealth LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2013, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 13, 2026.",
  "citation": "AdvisorCensus. TD Private Client Wealth LLC (CRD 164484): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "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",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is TD Private Client Wealth LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), TD Private Client Wealth LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is TD Private Client Wealth LLC located?",
      "a": "TD Private Client Wealth LLC's principal office is in New York, NY, according to its Form ADV; the September 2026 filing also lists 24 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is TD Private Client Wealth LLC registered with the SEC or a state?",
      "a": "TD Private Client Wealth LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 164484."
    },
    {
      "q": "How much does TD Private Client Wealth LLC manage?",
      "a": "TD Private Client Wealth LLC reports $8,574,585,303 in regulatory assets under management in its Form ADV filing dated August 13, 2026 (100% discretionary)."
    },
    {
      "q": "How have TD Private Client Wealth LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for TD Private Client Wealth LLC: Regulatory assets under management: $4,801,858,908 in the October 2021 data and $8,574,585,303 in the October 2026 data, up 79%. Total employees: 322 in October 2021 and 671 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does TD Private Client Wealth LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (23,833); high net worth individuals (1,518); corporations or other businesses not listed above (184)."
    },
    {
      "q": "Which custodians does TD Private Client Wealth LLC use?",
      "a": "TD Private Client Wealth LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does TD Private Client Wealth LLC report any disciplinary disclosures?",
      "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters and 6 questions about regulatory matters (11.A(1), 11.A(2), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/164484"
    },
    {
      "q": "What changed in TD Private Client Wealth LLC's recent Form ADV filings?",
      "a": "In the September 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 4801858908.0,
      "total_employees": 322,
      "filing_date": "2021-09-27"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 5618743092.0,
      "total_employees": 513,
      "filing_date": "2022-06-01"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 4662280213.0,
      "total_employees": 580,
      "filing_date": "2023-01-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 4823987047.0,
      "total_employees": 637,
      "filing_date": "2024-09-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 6450375507.0,
      "total_employees": 662,
      "filing_date": "2025-01-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 8574585303.0,
      "total_employees": 671,
      "filing_date": "2026-08-13"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Changed its office addresses in Manchester, NH."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Employees performing advisory functions went from 464 to 482.",
        "Regulatory assets under management went from $6,450,375,507 to $8,255,945,350 (+28%).",
        "Added an office in Manchester, NH.",
        "Added an office in Marlton, NJ.",
        "No longer lists an office in Washington, DC.",
        "No longer lists an office in Wilton, CT.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING 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-private-client-wealth-llc-new-york-ny-164484.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 23833,
      "fewer_than_5": false,
      "raum": 3080387187.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1518,
      "fewer_than_5": false,
      "raum": 3771047121.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 1,
      "fewer_than_5": true,
      "raum": 20036063.0
    },
    {
      "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": 32,
      "fewer_than_5": false,
      "raum": 200406818.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 110,
      "fewer_than_5": false,
      "raum": 443079835.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 2199431.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": null,
      "fewer_than_5": true,
      "raum": 318639953.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 7,
      "fewer_than_5": false,
      "raum": 176956565.0
    },
    {
      "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": 184,
      "fewer_than_5": false,
      "raum": 561832330.0
    }
  ],
  "disclosure_line": "Reports 8 disclosure items on Form ADV Item 11.",
  "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/164484",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}