SEC-registered wealth management firm Broker-dealer affiliated
TD Private Client Wealth LLC
As of its Form ADV filed August 13, 2026, TD Private Client Wealth LLC, an SEC-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $8.6 billion in regulatory assets under management across 25,698 accounts, ranking #34 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 164484
- SEC file number
- 801-77771
- Registered since
- April 11, 2013
- Latest Form ADV filing
- August 13, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- October
- Other offices
- 221
Key figures
- Regulatory assets under management
- $8.6 billion
- Discretionary
- $8.6 billion (100.0%)
- Non-discretionary
- $0
- Accounts
- 25,698 (25,698 discretionary)
- Clients
- 25,685, approximate as reported
- Employees
- 671
- Advisory staff
- 482 performing investment advisory functions
- Average account
- $333,667
- Asset growth, 1 year
- 32.9% (from $6.5 billion a year earlier)
- Asset growth, 3-year annual rate
- 22.5% (from $4.7 billion three years earlier)
- Asset growth, 5-year annual rate
- 12.3% (from $4.8 billion five years earlier)
- Client growth, 1 year
- 44.0% (from 17,838)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2013 | $10.9 million |
| October 1, 2014 | $102.8 million |
| October 1, 2015 | $547.4 million |
| October 3, 2016 | $1.1 billion |
| October 2, 2017 | $1.8 billion |
| October 1, 2018 | $2.7 billion |
| October 1, 2019 | $3.2 billion |
| October 1, 2020 | $4.3 billion |
| October 4, 2021 | $4.8 billion |
| October 3, 2022 | $5.6 billion |
| October 5, 2023 | $4.7 billion |
| October 1, 2024 | $4.8 billion |
| September 2, 2025 | $6.5 billion |
| October 2, 2026 | $8.6 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 1,518 clients | $3.8 billion | |
| Individuals (other than high net worth) 23,833 clients | $3.1 billion | |
| Corporations or other businesses 184 clients | $561.8 million | |
| Charitable organizations 110 clients | $443.1 million | |
| Other investment advisers fewer than 5 clients | $318.6 million | |
| Pension and profit sharing plans 32 clients | $200.4 million | |
| Insurance companies 7 clients | $177.0 million | |
| Banking or thrift institutions fewer than 5 clients | $20.0 million | |
| State or municipal government entities fewer than 5 clients | $2.2 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars or workshops
Financial planning clients (Item 5.H): 2500.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Banking or thrift institution
- Trust company
- Insurance company or agency
- Pension consultant
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $33.9 million in total.
Investment adviser representatives
- IARs registered with the firm
- 530
- Also registered through a broker-dealer
- 520
- Employees who are IARs (Form ADV 5.B(3))
- 485
Designations held by the firm's IARs: CFP 18, ChFC 13, CFA 11.
Between 369 and 530 of the firm's 530 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 8 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Joel Isaacson & Co., LLC | New York | $9.3 billion |
| Snowden Capital Advisors LLC | New York | $8.9 billion |
| Vise AI Advisors | New York City | $8.5 billion |
| Douglas C. Lane & Associates | New York | $8.4 billion |
| Ingalls Investment Management, LLC | New York | $7.8 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- TD Private Client Wealth LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.td.com/us/en/investing
- Wealth management firms in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.