Td Asset Management Usa Inc. (Toronto, Ontario)

Td Asset Management Usa Inc. is a large advisory firm based in Toronto, Ontario. It manages $16.35 billion of regulatory assets for 156 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Arizona, California, Florida, and 7 other states.

Td Asset Management U provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Td Asset Management U: assets under management

The assets under management (AUM) of Td Asset Management Usa Inc. is $16.35 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 25% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $16.35 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $104.8 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Td Asset Management Usa Inc. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Td Asset Management Usa Inc.

Mark Dennis Bell has been acting as President since 1 Dec 2006. Debra Marie Foubert joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Howard Neiman	Secretary, general counsel, director	1 Aug 1995	Other	878710
David Allen Hartman	Senior vice president, chief investment officer	1 Oct 1995	Other	853784
Michele Randy Teichner	Senior vice president, chief compliance officer	1 Aug 1996	Other	1246845
Robert Francis Maclellan	Chair and director	1 Nov 2000	Other	2301291
Satish Chander Rai	Vice chair	1 Mar 2001	Other	4391592
Barbara Frank Palk	President and director	1 Feb 2002	Other	4392337
Timothy Maurice Thompson	Vice chair (institutional)	1 Feb 2002	Other	4509520
Rodney Michael Thorfinnson	Director, chief operating officer, chief risk officer	1 Sep 2002	Other	4392339
Russell Bruce Kenneth Miner	Vice chair	1 Jan 2004	Other	4779465
William Robert Fulton	Director and officer	1 Sep 2004	Other	4865065
William Harry Hatanaka	Director, president & ceo (wealth management)	1 Sep 2004	Other	4865066
Jane Rae Stubbington	Assistant secretary	1 May 2005	Other	4392341
The Toronto Dominion Bank	Direct owner	1 May 2005	75% - 100%	13-5640479
John Terrance Gabel	Chief financial officer and treasurer	1 May 2005	Other	4970756
Robert Francis Maclellan	Chair and director	1 Jun 2005	Other	2301291
Barbara Frank Palk	President and director	1 Jun 2005	Other	4392337
Rodney Michael Thorfinnson	Director, chief operating officer, chief risk officer	1 Jun 2005	Other	4392339
Satish Chander Rai	Vice chair	1 Jun 2005	Other	4391592
Timothy Maurice Thompson	Vice chair (institutional)	1 Jun 2005	Other	4509520
William Robert Fulton	Director and officer	1 Jun 2005	Other	4865065
William Harry Hatanaka	Director, president & ceo (wealth management)	1 Jun 2005	Other	4865066
Russell Bruce Kenneth Miner	Vice chair	1 Jun 2005	Other	4779465
The Toronto Dominion Bank	Direct owner	1 Jun 2005	75% - 100%	13-5640479
John Terrance Gabel	Chief financial officer and treasurer	1 Jun 2005	Other	4970756
Janis Campanella	Assistant secretary	1 Jun 2005	Other	1263799
Kelvin Vi Luan Tran	Managing director and cfo	1 May 2006	Other	5167707
Malcolm S Lang	Chief financial officer and director	1 Dec 2006	Other	5267107
Mark Dennis Bell	Director	1 Dec 2006	Other	5267085
William Song	Secretary, general counsel, director	1 Apr 2007	Other	5322457
Debra Marie Foubert	Chief compliance officer	1 Mar 2008	Other	5165826

Based in Toronto, Ontario

The principal office where Td Asset Management Usa Inc. performs its advisory services is located at 161 Bay Street, Toronto, Ontario, M5 J 2 T2, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. The firm also has an office outside of the United States.