Td Ameritrade Investment Management, LLC (Omaha)

Name: Td Ameritrade Investment Management, LLC
Address: 200 South 108 Th Avenue, Omaha, NE, 68154
Telephone: 800-237-8692

Td Ameritrade Investment Management, LLC is a large advisory firm based in Omaha. It manages $19.69 billion of regulatory assets for 161,250 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Td Ameritrade Investment Management provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for approximately 160,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Td Ameritrade Investment Management: assets under management

The assets under management (AUM) of Td Ameritrade Investment Management, LLC is $19.69 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 57% since the beginning of its operation, and $2.05 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $19.69 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $122.12 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Td Ameritrade Investment Management, LLC for their services and products based on a percentage of assets under management. 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.

What kind of clients John Bell serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of John Bell is individuals with 159,980 clients and $17.5 billion of assets under management. Among the 9 most similar advisory firms, Td Ameritrade Investment Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $19.69 billion for 161,336 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Td Ameritrade Investment Management doesn't advise any private funds.

Careers at Td Ameritrade Investment Management, LLC

The company employs 23 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 23 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

John Bell has been acting as President since 1 Jul 2009. Keith Denerstein joined the executive team most recently as the Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Financial Passport	Member, amerivest investment management, llc	1 Mar 2000	75% - 100%	54-1982035
Gilbert Russell Ott	Secretary	1 Nov 2005	Other	877316
Gerald Paul Krager	Chief compliance officer	1 Jun 2007	Other	2943927
Matthew Thomas Judge	Vice president	1 Dec 2008	Other	2750534
John Francis Bell	President & coo	1 Jul 2009	Other	4403368
John Bell	President	1 Jul 2009	Other	4403368
Shelby Lee Meyer	Vice president	1 Dec 2010	Other	1946799
John Thomas Bradley	Board of managers member	1 Feb 2012	Other	1436857
Stephen John Boyle	Board of managers member	1 Oct 2015	Other	6501238
William Thomas Yates	Treasurer	1 Oct 2016	Other	2749545
Peter James Desilva	Board of managers member	1 Sep 2017	Other	1740057
Joseph John Correnti	Vice president	1 Oct 2017	Other	2347143
Keith Denerstein	Vice president	1 Jul 2019	Other	5691430
Thomas Robert Casey	Vice president	1 Jul 2019	Other	5177380

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Tdameritrade Holding Corporation	Shareholder	1 Sep 2002	75% - 100%	82-0543156
Tdameritrade Online Holdings Corp.	Shareholder	1 Sep 2002	75% - 100%	47-0642657

Based in Omaha

The principal office where Td Ameritrade Investment Management, LLC performs its advisory services is located at 200 South 108 Th Avenue, Omaha, NE 68154 The mailing address of the firm is 200 South 108 Th Avenue, Omaha, NE 68154. An additional office of the firm is in Pasadena, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-237-8692 or by fax 402-970-3440. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at tdameritrade.com.