TD ASSET MANAGEMENT
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TD ASSET MANAGEMENT
(CRD# 110088)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Toronto, Ontario, Canada.
The SEC approved the firm to operate as an RIA in
Sep 1995.
In
Jan 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$4.8 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
13%
of RAUM.
Non-US investors represent
3%
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TD ASSET MANAGEMENT
also reported in
Jan 2019
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396
employees,
with
157
performing advisory functions.
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A total of 3 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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TD ASSET MANAGEMENT has one or more disclosure events currently on file with the SEC.
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TD ASSET MANAGEMENT has Notice Filings with the following State Securities Authorities:
AK-Jan 2017, AL-Jan 2017, AR-Jan 2017, AZ-Jan 2017, CA-Jan 20
, CO-Jan 2017, CT-Jul 2013, DC-Jul 2013, DE-Jul 2013, FL-Jul 2
, GA-Jan 2017, HI-Jan 2017, IA-Jan 2017, ID-Jan 2017, IL-Jan 2
, IN-Jan 2017, KS-Jan 2017, KY-Jan 2017, LA-Jan 2017, MA-Jul 2
, MD-Jul 2013, ME-Jul 2013, MI-Jan 2017, MN-Jan 2017, MO-Jan 2
, MS-Jan 2017, MT-Jan 2017, NC-Jul 2013, ND-Jan 2017, NE-Jan 2
, NH-Jul 2013, NJ-Jul 2005, NM-Jan 2017, NV-Jan 2017, NY-Jan 2
, OH-Jan 2017, OK-Jan 2017, OR-Jan 2017, PA-Jul 2013, RI-Jul 2
, SC-Jul 2013, SD-Jan 2017, TN-Jan 2017, TX-Jan 2017, UT-Jan 2
, VA-Jan 2017, VT-Jul 2013, WA-Jan 2017, WI-Jan 2017, WV-Jan 2
, WY-Jan 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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