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.
SEC-registered adviser
Td Private Client Wealth LLC
Latest filing Aug 13, 2026
First filing on the tape Mar 12, 2013 · 60 filings
SEC status approved since Apr 11, 2013
RAUM
$8.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$6.9B individuals and HNW
Advisors
523
registered through the firm on IAPD
RAUM per advisor
$16.4M
derived; firm RAUM over IAPD count
Employees
671
482 advisory (5.B.1)
Offices
221
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$8.6B as of Aug 13, 2026
Jan 29, 2014$103M then
HNW client RAUM$3.8B as of Aug 13, 2026
Jan 26, 2018$1.3B then
State-registered IARs (5.B.3)485 as of Aug 13, 2026
Jan 29, 2014101 then
Employees (5.A)671 as of Aug 13, 2026
Jan 29, 2014243 then
Private funds: no history
RAUM +33% over the last fiscal year+23% a year over threeIARs 485 to 485offices 36 to 221
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $16.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $333,667derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.4derived222 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +44%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 2,500reportedItem 5.H
- Wrap fee program
- $8.3BreportedItem 5.I
- Custody
- $33.9M, 2,944 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.8B44%
- Individuals$3.1B36%
- Corporations and businesses$562M6.6%
- Charitable organizations$443M5.2%
- Other investment advisers$319M3.7%
- Pension and profit-sharing plans$200M2.3%
- Insurance companies$177M2.1%
- Banks and thrifts$20.0M0.2%
- State and municipal entities$2.2M0.0%
- Individual clients
- 23,833reported
- HNW clients
- 1,518reported
- Pension plan clients
- 32reported
- Charitable clients
- 110reported
- Accounts
- 25,698reported
- Financial planning clients
- 2,500reported
- Wrap fee programs
- $6.5B sponsored, $0 managedreported
- Custody of client assets
- $33.9M for 2,944 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.8 fund_share=0.04 institutional_share=0.1 related_bd=true related_bank=false bd_reps=514.0derived
Advisors registered through the firm
529 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Anthony Kappa | Vienna, Va | Apr 16, 2013 | 16 y | 0 |
| Stephen Michael Inglesino | Ramsey, Nj | Apr 17, 2013 | 13 y | 0 |
| Edward Joseph Donohue | Portland, Me | Apr 17, 2013 | 22 y | 4 |
| Beatriz Pallares | New York, Ny | Apr 17, 2013 | 19 y | 1 |
| Julie Ann Lopes | Manchester, Nh | Apr 23, 2013 | 18 y | 0 |
| Rosa Maria Pachon | Sarasota, Fl | Apr 23, 2013 | 24 y | 3 |
| Stacy Mable Putnam | Manchester, Nh | Apr 23, 2013 | 13 y | 0 |
| Dean Balsamo | Vienna, Va | Apr 23, 2013 | 26 y | 4 |
| Jason Jonathan WallachChartered Financial Analyst | Ramsey, Nj | Apr 23, 2013 | 39 y | 1 |
| Todd Christopher Mills | Portsmouth, Nh | Apr 23, 2013 | 32 y | 3 |
| Christopher Michael Wolt | Ramsey, Nj | Apr 23, 2013 | 27 y | 0 |
| Michael Joseph Iacobucci | Boston, Ma | Apr 23, 2013 | 33 y | 2 |
| Ricky Lacy Smith | Jacksonville, Fl | Apr 23, 2013 | 27 y | 0 |
| Edward Michael Swan | Marlton, Nj | Apr 29, 2013 | 29 y | 0 |
| David Pfeffermann | New York, Ny | May 14, 2013 | 19 y | 0 |
| Suzanne Ruth Matheson | Hartford, Ct | Jun 10, 2013 | 15 y | 0 |
| William Hugh Sessoms | Wilmington, Nc | Jul 15, 2013 | 28 y | 2 |
| Dmitry L Gurvich | New York, Ny | Aug 23, 2013 | 22 y | 6 |
| Joseph Anthony SantosCertified Financial Planner | New York, Ny | Aug 25, 2013 | 30 y | 3 |
| Asliha Elezi | New York, Ny | Aug 26, 2013 | 24 y | 0 |
| Nicholas Christopher Rounds | Marlton, Nj | Dec 11, 2013 | 21 y | 5 |
| Jeffrey Ward Hunter | New York, Ny | Dec 23, 2013 | 29 y | 2 |
| John Benjamin Dequattro | Portland, Me | Jan 6, 2014 | 13 y | 0 |
| James Henry Beam | Haddonfield, Nj | Jan 16, 2014 | 23 y | 2 |
| John James WatsonCertified Financial Planner, Chartered Financial Consultant | Marlton, Nj | Jan 17, 2014 | 34 y | 3 |
| Cynthia Stella Reilly | Plymouth, Ma | Jan 27, 2014 | 39 y | 0 |
| Frank S Levin | Vienna, Va | Mar 14, 2014 | 20 y | 2 |
| Matthew Thomas PriftiChartered Financial Consultant | Andover, Ma | Jul 1, 2014 | 28 y | 2 |
| Timothy Jack Richter | Cherry Hill, Nj | Jul 3, 2014 | 40 y | 0 |
| Karen Helen Weinhold | Manchester, Nh | Nov 26, 2014 | 20 y | 0 |
| Joseph Thomas Canevari | Marlton, Nj | Feb 26, 2015 | 13 y | 1 |
| Gwennette Lejenier Morant | Columbia, Sc | Jul 16, 2015 | 18 y | 0 |
| Jenna Lynn Rodes | Ramsey, Nj | Aug 6, 2015 | 12 y | 0 |
| Mark David Hasenauer | New York, Ny | Sep 17, 2015 | 17 y | 2 |
| Cyndy Marie Toscano | Marlton, Nj | Dec 4, 2015 | 25 y | 1 |
| Jacob Freeman Peck | Exton, Pa | Feb 8, 2016 | 21 y | 1 |
| Kyle Christopher YoungbloodChartered Financial Analyst | Columbia, Sc | Mar 8, 2016 | 24 y | 0 |
| Joseph Romeo PietrafittaCertified Financial Planner, Chartered Financial Analyst | Marlton, Nj | Mar 23, 2016 | 10 y | 0 |
| Sharon Metilyn Raymond-Daley | Sarasota, Fl | Mar 29, 2016 | 11 y | 1 |
| Steven Michael WallaceCertified Financial Planner, Chartered Financial Consultant | Mount Laurel, Nj | May 24, 2016 | 10 y | 0 |
Advisor movement
31 left, 113 joined in 12 months
net +82 in 12 months5 left in 90 days39 joined in 90 daysdeparture rate 5.9% of current headcount118 left over 36 months
Left, latest
- Jeremy W Bierlein to Cetera Investment Advisers LLCSep 10, 2026 · Affiliated broker-dealer or bank to another
- Julian Montaque-Williams to Pnc Wealth ManagementAug 13, 2026 · Affiliated broker-dealer or bank to another
- Naim Cukovic to Santander SecuritiesJun 25, 2026 · Affiliated broker-dealer or bank to another
- Mohammed Y. Islam to J.P. Morgan Securities LLCJun 23, 2026 · Affiliated broker-dealer or bank to wirehouse
- Kevin Michael Murray to MML Investors Services, LLCJun 23, 2026 · Affiliated broker-dealer or bank to another
- Scott Soenen to First Citizens Investor Services, Inc.Jun 12, 2026 · Affiliated broker-dealer or bank to another
- Brian Kyle Berlin to Advice And Planning ServicesJun 1, 2026 · Affiliated broker-dealer or bank to another
- Drew Elmorejr to Citigroup Global Markets Inc.May 21, 2026 · Affiliated broker-dealer or bank to another
- Daniel Seung Chul Lee to J.P. Morgan Securities LLCMay 21, 2026 · Affiliated broker-dealer or bank to wirehouse
- Michael Stephen Levay to Vanguard Advisers, Inc.May 12, 2026 · Affiliated broker-dealer or bank to another
- Carlos Delgado-Mejia to United Brokerage Services IncMay 4, 2026 · Affiliated broker-dealer or bank to another
- Yosef Menachem Pick to LPL Enterprise, LLCApr 17, 2026 · Affiliated broker-dealer or bank to another
- Joshua Vallejos to LPL Enterprise, LLCApr 16, 2026 · Affiliated broker-dealer or bank to another
- George Francis O'Brien to Mariner WealthMar 27, 2026 · Other
- Jonathan Ocampo to Santander SecuritiesMar 17, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- Jan Carlo Landi from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Paulson Edum from Cetera Investment Advisers LLCSep 15, 2026 · Affiliated broker-dealer or bank to another
- Samuel Pemberton from LPL Financial LLCSep 15, 2026 · Affiliated broker-dealer or bank to another
- Roodmy Cesar from Edward JonesSep 15, 2026 · Affiliated broker-dealer or bank to another
- Kimberly Myers-Turner from Dimensional Fund Advisors LPSep 14, 2026 · Other
- Jared Matthew Hyman from Equitable Advisors, LLCSep 14, 2026 · Affiliated broker-dealer or bank to another
- Samuel Mills Hardy from Nest EggSep 11, 2026 · RIA to affiliated broker-dealer or bank
- Thomas Gibson from LPL Enterprise, LLCSep 10, 2026 · Affiliated broker-dealer or bank to another
- Dongfang Pei from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
- James Anthony Cerefice from Advice And Planning ServicesAug 26, 2026 · Affiliated broker-dealer or bank to another
- Michael Scott from Allstate Financial Advisors, LLCAug 19, 2026 · Affiliated broker-dealer or bank to another
- Jordan Aylesworth from J.P. Morgan Securities LLCAug 19, 2026 · Wirehouse to affiliated broker-dealer or bank
- Caleb Georges Pointdujour from Equitable Advisors, LLCAug 19, 2026 · Affiliated broker-dealer or bank to another
- Patrick Defeciani from Morgan StanleyAug 19, 2026 · Wirehouse to affiliated broker-dealer or bank
- Qiyuan Chen from UBS Financial Services Inc.Aug 12, 2026 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Enterprise, LLCApr 16, 2026 · Scotch Plains, Nj
- 2 left for J.P. Morgan Securities LLCJan 31, 2025 · New York, Ny
- 4 left for J.P. Morgan Securities LLCAug 30, 2024 · New York, Ny
- 2 left for LPL Financial LLCJul 28, 2023 · New York, Ny
- 2 left for Wells Fargo AdvisorsApr 21, 2022 · Princeton, Nj
- 2 left for Wells Fargo AdvisorsMar 17, 2022 · Princeton, Nj
- 3 left for William Blair & Company L.L.C.Oct 26, 2021 · Hartford, Ct
- 2 left for American Portfolios Advisors, IncJan 24, 2019 · Melville, Ny
- 2 joined from Morgan StanleyAug 4, 2026 · New York, Ny
- 2 joined from Equitable Advisors, LLCJul 15, 2026 · Melville, Ny
- 2 joined from Equitable Advisors, LLCMay 21, 2026 · New York, Ny
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 6, 2026 · Short Hills, Nj
- 2 joined from Charles Schwab & Co., Inc.Jan 3, 2024 · Boca Raton, Fl
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 1, 2023 · Miami, Fl
- 2 joined from E*Trade Capital Management, LLCAug 18, 2023 · Garden City, Ny
- 2 joined from Wells Fargo AdvisorsJun 6, 2022 · Miami, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Henry Jr. Beam · Presidentcontrolsince 12/2021 · owns less than 5%
- Robert Begun · President & Directorcontrolsince 12/2025 · owns less than 5%
- Nayra Calderon Najera · Ccocontrolsince 11/2024 · owns less than 5%
- Anna Carroll · Coo & Director Operations Principalcontrolsince 12/2025 · owns less than 5%
- Alan J Chabot · Ceo & Directorcontrolsince 10/2024 · owns less than 5%
- Jorge Luis Ortiz · Cfo & Finopcontrolsince 06/2024 · owns less than 5%
- John Louis III Schautz · Coocontrolsince 08/2016 · owns less than 5%
- Jeffrey Joseph Rodrigues Sundram · Ccocontrolsince 10/2019 · owns less than 5%
- Kevin Keith Wilson · Finopsince 06/2024 · owns less than 5%
Entity owners
- Td Bank, National Association · Ownerdirect · owns 75% or more
- Td Bank US Holding Company · Ownerindirect · owns 75% or more of Td Bank, National Association
- Td Group US Holdings LLC · Ownerindirect · owns 75% or more of Td Bank US Holding Company
- The Toronto-Dominion Bank · Ownerindirect · owns 75% or more of Td Group US Holdings LLC · public reporting company
Related persons
Schedule D 7.A
- Epoch Investment Partners, Inc.investment advisernRAUM $30B
- Td Asset Management Inc.investment advisern
- Td Bank, National Associationy
- Td Securities (USA) LLCbroker-dealern
- Td Securities Automated Trading LLCbroker-dealern
- Td Securities Inc.broker-dealern
- Td Wealth Management Services, Inc.real estaten
- Toronto-Dominion Banky
Advisers that list Td Private Client Wealth LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 82 | 25 | 5 | ||
| Marlton, Nj | 77 | 9 | 0 | ||
| Greenville, Sc | 64 | 18 | 3 | ||
| Sarasota, Fl | 47 | 9 | 1 | ||
| Manchester, Nh | 39 | 12 | 2 | ||
| Ramsey, Nj | 37 | 9 | 1 | ||
| Vienna, Va | 36 | 10 | 3 | ||
| Melville, Ny | 30 | 11 | 2 | ||
| Hartford, Ct | 29 | 5 | 0 | ||
| Princeton, Nj | 24 | 7 | 1 | ||
| Bernardsville, Nj | 24 | 12 | 0 | ||
| White Plains, Ny | 22 | 6 | 1 | ||
| Portland, Me | 18 | 2 | 0 | ||
| Wellesley, Ma | 17 | 6 | 1 | ||
| Portsmouth, Nh | 17 | 1 | 2 | ||
| Exton, Pa | 17 | 3 | 1 | ||
| Boston, Ma | 16 | 7 | 0 | ||
| Fort Lauderdale, Fl | 16 | 3 | 0 | ||
| Brooklyn, Ny | 12 | 5 | 1 | ||
| Tampa, Fl | 9 | 7 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Manchester, NH15 employees
- Greenville, SC12 employees
- Coral Gables, FL12 employees
- Ramsey, NJ11 employees
- Haddon Township, NJ11 employees
- Melville, NY9 employees
- Philadelphia, PA8 employees
- Exton, PA7 employees
- Boston, MA7 employees
- Hartford, CT5 employees
- Jacksonville, FL5 employees
- Vienna, VA5 employees
- Palm Beach, FL4 employees
- Burlington, VT4 employees
- Bernardsville, NJ4 employees
- Concord, NH4 employees
- Wilton, CT4 employees
- Princeton, NJ3 employees
- Portland, ME3 employees
- Latham, NY2 employees
- Bensalem, PA2 employees
- Andover, MA2 employees
- Columbia, SC2 employees
- West Palm Beach, FL2 employees
- Wilmington, NC2 employees
ADV anomalies
9 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 13, 2026financial planning (Item 5.G.1): no on the filing of 2026-06-12, yes on the filing of 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 13, 2026BEGUN, ROBERT (PRESIDENT & DIRECTOR) appeared on Schedule A between the filings of 2024-12-04 and 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 13, 2026CARROLL, ANNA (COO & DIRECTOR OPERATIONS PRINCIPAL) appeared on Schedule A between the filings of 2024-12-04 and 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 13, 2026CALDERON NAJERA, NAYRA (CCO) appeared on Schedule A between the filings of 2024-12-04 and 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 13, 2026SCHAUTZ, JOHN LOUIS III (COO) left Schedule A between the filings of 2024-12-04 and 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 13, 2026ORTIZ, JORGE LUIS (CFO & FINOP) left Schedule A between the filings of 2024-12-04 and 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 13, 2026BEAM, JAMES HENRY JR. (PRESIDENT) left Schedule A between the filings of 2024-12-04 and 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Aug 13, 2026SUNDRAM, JEFFREY JOSEPH RODRIGUES (CCO) left Schedule A between the filings of 2024-12-04 and 2026-08-13peers: affiliated wealth managers, $5B to $20B (53)
- office count surgeChange between filings · filing Jan 29, 2026offices other than the principal office (Item 1.F.5) moved from 36.0 to 221.0 (+514.0%) between the annual amendments of 2025-01-31 and 2026-01-29; the peer median change was 0.0% (51 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $5B to $20B (51) · 100% percentile
What changed
consecutive filings, newest first
- Advisory activities · 6 to 7Jun 12, 2026 to Aug 13, 2026
- Financial planning clients · to More than 500Jun 12, 2026 to Aug 13, 2026
- Accounts · 25,697 to 25,698Jan 29, 2026 to May 26, 2026
- Advisory activities · 7 to 6Jan 29, 2026 to May 26, 2026
- Assets in custody · $8.3B to $33.9MJan 29, 2026 to May 26, 2026
- Financial planning clients · 0 to Jan 29, 2026 to May 26, 2026
- Discretionary RAUM · $8.3B to $8.6BJan 29, 2026 to May 26, 2026
- RAUM · $8.3B to $8.6BJan 29, 2026 to May 26, 2026
- Wrap assets (sponsor) · $1.7B to $6.5BJan 29, 2026 to May 26, 2026
- Accounts · 17,824 to 25,697Dec 23, 2025 to Jan 29, 2026
- Advisory employees · 464 to 482Dec 23, 2025 to Jan 29, 2026
- BD registered reps · 482 to 514Dec 23, 2025 to Jan 29, 2026
- Charity clients · 113 to 110Dec 23, 2025 to Jan 29, 2026
- Corporate clients · 117 to 184Dec 23, 2025 to Jan 29, 2026
- HNW clients · 1,238 to 1,518Dec 23, 2025 to Jan 29, 2026
- Individual clients · 16,316 to 23,833Dec 23, 2025 to Jan 29, 2026
- Pension plan clients · 30 to 32Dec 23, 2025 to Jan 29, 2026
- Assets in custody · $6.5B to $8.3BDec 23, 2025 to Jan 29, 2026
- Employees · 662 to 671Dec 23, 2025 to Jan 29, 2026
- Other offices · 36 to 221Dec 23, 2025 to Jan 29, 2026
- Discretionary RAUM · $6.5B to $8.3BDec 23, 2025 to Jan 29, 2026
- HNW RAUM · $3.0B to $3.8BDec 23, 2025 to Jan 29, 2026
- Individual RAUM · $2.3B to $3.1BDec 23, 2025 to Jan 29, 2026
- Pension RAUM · $195M to $200MDec 23, 2025 to Jan 29, 2026
- RAUM · $6.5B to $8.3BDec 23, 2025 to Jan 29, 2026
- Wrap assets (sponsor) · $1.0B to $1.7BDec 23, 2025 to Jan 29, 2026
- Financial planning clients · 0 to 0Jan 31, 2025 to Oct 1, 2025
- State-registered IARs · 395 to 485Dec 4, 2024 to Jan 31, 2025
- Accounts · 9,134 to 17,824Dec 4, 2024 to Jan 31, 2025
- Advisory employees · 284 to 464Dec 4, 2024 to Jan 31, 2025
- BD registered reps · 415 to 482Dec 4, 2024 to Jan 31, 2025
- Charity clients · 62 to 113Dec 4, 2024 to Jan 31, 2025
- Corporate clients · 214 to 117Dec 4, 2024 to Jan 31, 2025
- HNW clients · 994 to 1,238Dec 4, 2024 to Jan 31, 2025
- Individual clients · 7,814 to 16,316Dec 4, 2024 to Jan 31, 2025
- Pension plan clients · 28 to 30Dec 4, 2024 to Jan 31, 2025
- Assets in custody · $3.8B to $6.5BDec 4, 2024 to Jan 31, 2025
- Employees · 637 to 662Dec 4, 2024 to Jan 31, 2025
- Other offices · 39 to 36Dec 4, 2024 to Jan 31, 2025
- Discretionary RAUM · $4.8B to $6.5BDec 4, 2024 to Jan 31, 2025
Signals
60 dated events
- Bruno Rossi no longer holds an investment adviser registration (last listed at Td Private Client Wealth Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Brandon Lopez no longer holds an investment adviser registration (last listed at Td Private Client Wealth Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Joshua Maurizio Comune no longer holds an investment adviser registration (last listed at Td Private Client Wealth Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Abraham Dillan Tillman added a AL registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a AK registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a AR registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a CA registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a CO registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a HI registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a ID registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a IL registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a IN registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a IA registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a KS registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a KY registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a MI registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a MN registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a MS registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a MO registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a MT registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a NV registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a NM registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a OH registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a OK registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a OR registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a SD registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a TX registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a WA registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a WI registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
- Abraham Dillan Tillman added a WY registration at Td Private Client Wealth LlcSep 16, 2026 · New state registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- td.com/us/en/investingreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 877-703-9896reportedpublic record, Form ADV, Aug 13, 2026
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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $16.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026