DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Td Ameritrade Investment Management, LLC

Former SEC-registered adviserOmaha, NebraskaCRD 111514SEC 801-55501IAPD
Latest filing Mar 31, 2023
First filing on the tape Dec 22, 2011 · 71 filings
RAUM
$16B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$16B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
12 advisory (5.B.1)
Offices
380
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$16B as of Mar 31, 2023
Dec 22, 2011$1.7B then
HNW client RAUM$4.2B as of Mar 31, 2023
Jan 29, 2018$1.7B then
State-registered IARs (5.B.3)15 as of Mar 31, 2023
Dec 22, 20110 then
Employees (5.A)20 as of Mar 31, 2023
Dec 19, 20120 then
Private funds: no history
RAUM -32% over the last fiscal year-9.3% a year over threeIARs 22 to 15
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$1.1BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6,768derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$540,492derivedHNW RAUM over HNW clients
Average account
$155,367derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.0derived381 offices incl. principal (1.F.5)
RAUM growth, one year
-32%derivedbetween the last two annual amendments
Advisor growth, one year
-32%derivedItem 5.B.3 between annual amendments
Client growth, one year
-14%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Financial planning clients
3,500reportedItem 5.H
Custody
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$11B73%
  • High-net-worth individuals$4.2B27%
  • Corporations and businesses$99.7M0.6%
  • Charitable organizations$37.1M0.2%
Individual clients
93,721reported
HNW clients
7,793reported
Pension plan clients
n/areported
Charitable clients
86reported
Accounts
101,875reported
Financial planning clients
3,500reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Gene Michael Asmus · Treasurercontrol
    since 08/2021 · owns less than 5%
  • John Bell · President, Chief Operations Officercontrol
    since 07/2009 · owns less than 5%
  • Alyssa Duffy · Chief Compliance Officer
    since 11/2022 · owns less than 5%
Entity owners
  • Financial Passport, Inc. · Member, Amerivest Investment Management, LLC
    direct · owns 75% or more
  • Tdameritrade Holding Corporation · Shareholder
    indirect · owns 75% or more of Tdameritrade Online Holdings Corp. · public reporting company
  • Tdameritrade Online Holdings Corp. · Shareholder
    indirect · owns 75% or more of Financial Passport, Inc.
  • The Charles Schwab Corporation · Parent Corporation
    indirect · owns 75% or more of Tdameritrade Holding Corporation · public reporting company
Related persons
Schedule D 7.A
Advisers that list Td Ameritrade Investment Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Omaha, NE68 employees
  • Southlake, TX39 employees
  • Jersey City, NJ20 employees
  • Westlake, TX20 employees
  • Short Hills, NJ12 employees
  • St. Louis, MO11 employees
  • Irvine, CA10 employees
  • Birmingham, MI10 employees
  • Cupertino, CA10 employees
  • New York, NY10 employees
  • San Francisco, CA9 employees
  • Northbrook, IL9 employees
  • Paramus, NJ9 employees
  • Pasadena, CA9 employees
  • Frisco, TX8 employees
  • Las Vegas, NV8 employees
  • Omaha, NE8 employees
  • Tampa, FL8 employees
  • San Diego, CA8 employees
  • Cary, NC7 employees
  • Chesterfield, MO7 employees
  • Atlanta, GA7 employees
  • Portland, OR7 employees
  • Boca Raton, FL7 employees
  • Long Beach, CA7 employees
What changed
consecutive filings, newest first
  • Accounts · 118,672 to 101,875
    Nov 15, 2022 to Mar 31, 2023
  • Advisory employees · 22 to 12
    Nov 15, 2022 to Mar 31, 2023
  • Advisory activities · 3 to 4
    Nov 15, 2022 to Mar 31, 2023
  • BD registered reps · 0 to 12
    Nov 15, 2022 to Mar 31, 2023
  • Charity clients · 95 to 86
    Nov 15, 2022 to Mar 31, 2023
  • Corporate clients · 331 to 275
    Nov 15, 2022 to Mar 31, 2023
  • HNW clients · 10,238 to 7,793
    Nov 15, 2022 to Mar 31, 2023
  • Individual clients · 108,008 to 93,721
    Nov 15, 2022 to Mar 31, 2023
  • Employees · 22 to 20
    Nov 15, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 0 to 1
    Nov 15, 2022 to Mar 31, 2023
  • State-registered IARs · 22 to 15
    Nov 15, 2022 to Mar 31, 2023
  • Discretionary RAUM · $23B to $16B
    Nov 15, 2022 to Mar 31, 2023
  • HNW RAUM · $7.2B to $4.2B
    Nov 15, 2022 to Mar 31, 2023
  • Individual RAUM · $16B to $11B
    Nov 15, 2022 to Mar 31, 2023
  • RAUM · $23B to $16B
    Nov 15, 2022 to Mar 31, 2023
  • Accounts · 206,232 to 118,672
    Jan 26, 2022 to Mar 31, 2022
  • Advisory employees · 23 to 22
    Jan 26, 2022 to Mar 31, 2022
  • Charity clients · 124 to 95
    Jan 26, 2022 to Mar 31, 2022
  • Corporate clients · unset to 331.0
    Jan 26, 2022 to Mar 31, 2022
  • HNW clients · 1,552 to 10,238
    Jan 26, 2022 to Mar 31, 2022
  • Individual clients · 167,043 to 108,008
    Jan 26, 2022 to Mar 31, 2022
  • Employees · 23 to 22
    Jan 26, 2022 to Mar 31, 2022
  • State-registered IARs · 23 to 22
    Jan 26, 2022 to Mar 31, 2022
  • Discretionary RAUM · $22B to $23B
    Jan 26, 2022 to Mar 31, 2022
  • HNW RAUM · $2.6B to $7.2B
    Jan 26, 2022 to Mar 31, 2022
  • Individual RAUM · $20B to $16B
    Jan 26, 2022 to Mar 31, 2022
  • RAUM · $22B to $23B
    Jan 26, 2022 to Mar 31, 2022
  • Related bank · false to true
    Jan 26, 2022 to Mar 31, 2022
  • Accounts · 167,233 to 206,232
    Nov 5, 2020 to Jan 5, 2021
  • Charity clients · 114 to 124
    Nov 5, 2020 to Jan 5, 2021
  • HNW clients · 1,400 to 1,552
    Nov 5, 2020 to Jan 5, 2021
  • Individual clients · 165,719 to 167,043
    Nov 5, 2020 to Jan 5, 2021
  • Other offices · 289 to 380
    Nov 5, 2020 to Jan 5, 2021
  • Discretionary RAUM · $21B to $22B
    Nov 5, 2020 to Jan 5, 2021
  • HNW RAUM · $2.4B to $2.6B
    Nov 5, 2020 to Jan 5, 2021
  • Individual RAUM · $19B to $20B
    Nov 5, 2020 to Jan 5, 2021
  • RAUM · $21B to $22B
    Nov 5, 2020 to Jan 5, 2021
  • Accounts · 161,250 to 167,233
    Nov 19, 2019 to Dec 12, 2019
  • Charity clients · 86 to 114
    Nov 19, 2019 to Dec 12, 2019
  • HNW clients · 1,270 to 1,400
    Nov 19, 2019 to Dec 12, 2019
Signals
60 dated events
  • Zachary Blumenthal left Td Ameritrade Investment Management, Llc for Citigroup Global Markets Inc. (registered 2025-06-24)
    Sep 7, 2023 · Advisor changed firm · fact
  • Matthew Eric Burton no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Garv Gianchetta left Td Ameritrade Investment Management, Llc for J.P. Morgan Securities Llc (registered 2025-02-15)
    Sep 7, 2023 · Advisor changed firm · fact
  • Benjamin Franklin Mossoney left Td Ameritrade Investment Management, Llc for Valeo Financial Advisors, Llc (registered 2024-08-16)
    Sep 7, 2023 · Advisor changed firm · fact
  • Joel Timothy Wing left Td Ameritrade Investment Management, Llc for Raymond James Financial Services Advisors, Inc (registered 2026-06-15)
    Sep 7, 2023 · Advisor changed firm · fact
  • David Scott Walker left Td Ameritrade Investment Management, Llc for Austin Asset (registered 2026-08-19)
    Sep 7, 2023 · Advisor changed firm · fact
  • Aaron M Motai left Td Ameritrade Investment Management, Llc for Corient (registered 2025-06-19)
    Sep 7, 2023 · Advisor changed firm · fact
  • Dean Everett Hickerson left Td Ameritrade Investment Management, Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-06-06)
    Sep 7, 2023 · Advisor changed firm · fact
  • Nicholas Anthony Fontanella left Td Ameritrade Investment Management, Llc for Bison Wealth, Llc (registered 2026-02-13)
    Sep 7, 2023 · Advisor changed firm · fact
  • Samuel I Winter left Td Ameritrade Investment Management, Llc for Western Wealth Management Llc (registered 2025-04-23)
    Sep 7, 2023 · Advisor changed firm · fact
  • Joshua Gw Mccammon left Td Ameritrade Investment Management, Llc for Midland Wealth Management (registered 2025-07-14)
    Sep 7, 2023 · Advisor changed firm · fact
  • Rachel Louise Wiley no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Sagar Sheth left Td Ameritrade Investment Management, Llc for Lido (registered 2024-02-07)
    Sep 7, 2023 · Advisor changed firm · fact
  • Jordan Ryan Sabatino no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Ian Withem no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • John Francis Bell left Td Ameritrade Investment Management, Llc for Free State Financial Planning, Llc (registered 2024-04-08)
    Sep 7, 2023 · Advisor changed firm · fact
  • Cade Aaron Tucker no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Ryan Timothy Mcnelis no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Jaclyn Schmidt Cha no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Shane Lunneborg no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Martin William Genello no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Nicholas William Radomski no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Hugh Swart no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Brian Miller left Td Ameritrade Investment Management, Llc for Fisher Investments (registered 2024-06-14)
    Sep 7, 2023 · Advisor changed firm · fact
  • Angelo Hortizuela San Mateo no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Paraskevas Sellis no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Juliane Alice Starner no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Thomas Robert Lloyd no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Rachel Alexandra Roche no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Shane Robert Lucero no longer registered at Td Ameritrade Investment Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026