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, Inc.

Former SEC-registered adviserOmaha, NebraskaCRD 7870SEC 801-60469IAPD
Latest filing Sep 20, 2022
First filing on the tape Dec 22, 2011 · 68 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5,840
1,395 advisory (5.B.1)
Offices
389
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 31, 2022
Dec 22, 2017$0 then
State-registered IARs (5.B.3)1,395 as of Mar 31, 2022
Dec 22, 20110 then
Employees (5.A)5,840 as of Mar 31, 2022
Dec 20, 20125,789 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2,252 to 1,395
Practice profile
derived from the filing of Sep 20, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.2derivedItem 5.A over advisors
Advisors per office
3.6derived390 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-38%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
selection of other advisers, educational seminarsreportedItem 5.G
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
  • is a broker-dealer (6.A.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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
n/areported
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
  • Gregg Joseph Fuesel · Chief Financial Officer/Finopcontrol
    since 04/2021 · owns less than 5%
  • Lynn Marie Konop · Chief Compliance Offficer - Bdcontrol
    since 05/2021 · owns less than 5%
  • Barry Scott Metzger · Presidentcontrol
    since 01/2022 · owns less than 5%
  • Jeffrey Harold Starr · Managing Director, Operationscontrol
    since 03/2022 · owns less than 5%
Entity owners
  • Td Ameritrade Online Holdings Corp. · Owner
    direct · owns 75% or more
  • Td Ameritrade Holding Corporation · Parent Corporation
    indirect · owns 75% or more of Td Ameritrade Online Holdings Corp · public reporting company
  • The Charles Schwab Corporation · Parent Corporation
    indirect · owns 75% or more of Td Ameritrade Holding Corporation · public reporting company
Related persons
Schedule D 7.A
Advisers that list Td Ameritrade, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Southlake, TX301 employees
  • St. Louis, MO80 employees
  • Omaha, NE63 employees
  • San Diego, CA54 employees
  • Portland, OR35 employees
  • Campbell, CA34 employees
  • Austin, TX29 employees
  • Indianapolis, IN28 employees
  • Walnut Creek, CA28 employees
  • San Francisco, CA28 employees
  • Birmingham, MI28 employees
  • Cary, NC26 employees
  • Edina, MN26 employees
  • Pittsburgh, PA26 employees
  • Glen Allen, VA26 employees
  • Cupertino, CA25 employees
  • Long Beach, CA25 employees
  • Northbrook, IL24 employees
  • Short Hills, NJ17 employees
  • Pasadena, CA15 employees
  • New York, NY14 employees
  • Radnor, PA14 employees
  • Tampa, FL14 employees
  • Irvine, CA13 employees
  • Bellevue, WA13 employees
What changed
consecutive filings, newest first
  • Advisory employees · 1,560 to 1,395
    Feb 4, 2022 to Mar 31, 2022
  • BD registered reps · 5,434 to 4,429
    Feb 4, 2022 to Mar 31, 2022
  • Charity clients · 178.0 to unset
    Feb 4, 2022 to Mar 31, 2022
  • Corporate clients · 1399.0 to unset
    Feb 4, 2022 to Mar 31, 2022
  • HNW clients · 10581.0 to unset
    Feb 4, 2022 to Mar 31, 2022
  • Individual clients · 87977.0 to unset
    Feb 4, 2022 to Mar 31, 2022
  • Employees · 10,129 to 5,840
    Feb 4, 2022 to Mar 31, 2022
  • Insurance-licensed employees · 1,927 to 1,030
    Feb 4, 2022 to Mar 31, 2022
  • State-registered IARs · 2,252 to 1,395
    Feb 4, 2022 to Mar 31, 2022
  • Charity clients · 165 to 178
    Nov 5, 2020 to Jan 4, 2021
  • Corporate clients · 1,263 to 1,399
    Nov 5, 2020 to Jan 4, 2021
  • HNW clients · 9,849 to 10,581
    Nov 5, 2020 to Jan 4, 2021
  • Individual clients · 83,014 to 87,977
    Nov 5, 2020 to Jan 4, 2021
  • Pension plan clients · 106.0 to unset
    Nov 5, 2020 to Jan 4, 2021
  • Related bank · true to false
    Aug 28, 2020 to Sep 11, 2020
  • Related bank · false to true
    Aug 7, 2020 to Aug 28, 2020
  • Advisory employees · 1,591 to 1,560
    Nov 18, 2019 to Dec 16, 2019
  • BD registered reps · 5,438 to 5,434
    Nov 18, 2019 to Dec 16, 2019
  • Charity clients · 133 to 165
    Nov 18, 2019 to Dec 16, 2019
  • Corporate clients · 1,262 to 1,263
    Nov 18, 2019 to Dec 16, 2019
  • HNW clients · 9,385 to 9,849
    Nov 18, 2019 to Dec 16, 2019
  • Individual clients · 82,134 to 83,014
    Nov 18, 2019 to Dec 16, 2019
  • Pension plan clients · 111 to 106
    Nov 18, 2019 to Dec 16, 2019
  • Employees · 10,207 to 10,129
    Nov 18, 2019 to Dec 16, 2019
  • Insurance-licensed employees · 2,085 to 1,927
    Nov 18, 2019 to Dec 16, 2019
  • State-registered IARs · 2,338 to 2,252
    Nov 18, 2019 to Dec 16, 2019
  • Advisory employees · 1,119 to 1,591
    Sep 28, 2018 to Dec 20, 2018
  • BD registered reps · 4,046 to 5,438
    Sep 28, 2018 to Dec 20, 2018
  • Charity clients · 105 to 133
    Sep 28, 2018 to Dec 20, 2018
  • Corporate clients · 1,117 to 1,262
    Sep 28, 2018 to Dec 20, 2018
  • HNW clients · 7,942 to 9,385
    Sep 28, 2018 to Dec 20, 2018
  • Individual clients · 75,489 to 82,134
    Sep 28, 2018 to Dec 20, 2018
  • Pension plan clients · 116 to 111
    Sep 28, 2018 to Dec 20, 2018
  • Employees · 7,809 to 10,207
    Sep 28, 2018 to Dec 20, 2018
  • Insurance-licensed employees · 1,449 to 2,085
    Sep 28, 2018 to Dec 20, 2018
  • State-registered IARs · 1,634 to 2,338
    Sep 28, 2018 to Dec 20, 2018
  • Other offices · 108 to 389
    Sep 28, 2018 to Dec 20, 2018
  • Advisory employees · 1,161 to 1,119
    Sep 26, 2017 to Dec 22, 2017
  • BD registered reps · 3,523 to 4,046
    Sep 26, 2017 to Dec 22, 2017
  • Charity clients · unset to 105.0
    Sep 26, 2017 to Dec 22, 2017
Signals
60 dated events
  • Olivier Guerin no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Steven Cole Frantz no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Christopher Joseph Simcho left Td Ameritrade, Inc. for Morgan Stanley (registered 2024-10-07)
    Oct 14, 2022 · Advisor changed firm · fact
  • Richard Arthur Munneke left Td Ameritrade, Inc. for Mercer Global Advisors Inc. (registered 2024-10-15)
    Oct 14, 2022 · Advisor changed firm · fact
  • Agnes A Cahill no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Steven Todd Nearpass no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Brian Joseph Olson no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Melody Y Lin no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Robert Joseph Chiocca no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Stuart Scott Lempert left Td Ameritrade, Inc. for Landmark Wealth Management, Llc (registered 2025-06-01)
    Oct 14, 2022 · Advisor changed firm · fact
  • Alireza Kandi left Td Ameritrade, Inc. for 3Edge Asset Management, Lp (registered 2023-06-30)
    Oct 14, 2022 · Advisor changed firm · fact
  • Steven Joseph Pantuso left Td Ameritrade, Inc. for Raymond James & Associates, Inc. (registered 2024-10-15)
    Oct 14, 2022 · Advisor changed firm · fact
  • H Gerald Weil no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • James Garnet Jones no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Courtney Rowley left Td Ameritrade, Inc. for Fidelity Personal And Workplace Advisors (registered 2024-02-29)
    Oct 14, 2022 · Advisor changed firm · fact
  • Guy Andre Beaudoin left Td Ameritrade, Inc. for Edward Jones (registered 2025-04-24)
    Oct 14, 2022 · Advisor changed firm · fact
  • Brian Earl Williams no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Michael Christopher Hall left Td Ameritrade, Inc. for Saltmarsh Financial Advisors, Llc (registered 2024-08-08)
    Oct 14, 2022 · Advisor changed firm · fact
  • Stephanie King left Td Ameritrade, Inc. for Morgan Stanley (registered 2025-02-12)
    Oct 14, 2022 · Advisor changed firm · fact
  • Kristen Leanne O'Brien left Td Ameritrade, Inc. for Mercer Global Advisors Inc. (registered 2023-07-31)
    Oct 14, 2022 · Advisor changed firm · fact
  • Brett Alan Bernard no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Joscelyn Joseph Worrell left Td Ameritrade, Inc. for Cetera Investment Advisers Llc (registered 2025-12-11)
    Oct 14, 2022 · Advisor changed firm · fact
  • Eric Wojciechowski left Td Ameritrade, Inc. for Raymond James & Associates, Inc. (registered 2025-12-04)
    Oct 14, 2022 · Advisor changed firm · fact
  • Juliana Ramirez left Td Ameritrade, Inc. for J.P. Morgan Securities Llc (registered 2023-04-03)
    Oct 14, 2022 · Advisor changed firm · fact
  • Taryn L Kesterson left Td Ameritrade, Inc. for Edward Jones (registered 2024-06-07)
    Oct 14, 2022 · Advisor changed firm · fact
  • Darrah La Vonne Lay left Td Ameritrade, Inc. for Avantax Advisory Services (registered 2022-11-25)
    Oct 14, 2022 · Advisor changed firm · fact
  • Brandon Perry Vanmeter left Td Ameritrade, Inc. for Edward Jones (registered 2025-03-28)
    Oct 14, 2022 · Advisor changed firm · fact
  • Tess Buenaventura left Td Ameritrade, Inc. for J.P. Morgan Securities Llc (registered 2024-04-17)
    Oct 14, 2022 · Advisor changed firm · fact
  • Lauren Elizabeth Driver Mathers no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · Advisor departure · fact
  • Monica Vazquez no longer registered at Td Ameritrade, Inc.; no later IA registration on IAPD
    Oct 14, 2022 · 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