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TD ASSET MANAGEMENT
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% .  
 
TD ASSET MANAGEMENT also reported in Jan 2019
  • 396 employees, with 157 performing advisory functions.
  • A total of 3 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
TD ASSET MANAGEMENT has one or more disclosure events currently on file with the SEC.
 

View TD ASSET MANAGEMENT's most recent Form ADV filing
 irban42



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


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.


irban43
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irban43


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