Td Capital Management LLC

CRD#106125
Investment Advisor Firm

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Learn more about Td Capital Management LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Td Capital Management LLC is a financial advisor firm that has its headquarters in Memphis, Tennessee. It administers $845.7 million in assets across 404 accounts, placing it among the bigger firms in the United States by assets under management (AUM). The company has a small group, including 9 financial advisors. Td Capital Management LLC does not act as a registered broker-dealer, meaning the company is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer company to do so. Securities are tradable fiscal investments like stocks, bonds and options.

    Td Capital Management LLC manages all of the firm's accounts in a discretionary manner. Discretionary management means that buy and sell judgments are made by an investment advisor without needing to seek client permission. The company's average account size is $2.1 million. An average advisor at Td Capital Management LLC administers about 45 client accounts, making it about average in terms of personalization.

    The firm's central office is located at 5100 Poplar Avenue, Memphis, Tennessee 38137-1400. It is permitted to serve investors across 12 U.S. states and territories.

    Assets Under Management

    $845.7 million

    Number of Advisors

    9

    Disclosures

    No

    Office Location

    5100 Poplar Avenue
    Memphis, TN 38137-1400

    Td Capital Management LLC by the Numbers

    Total Assets Under Management

    $845.7 million

    National Average: $8.6 billion
    Total Number of Employees

    13

    National Average: 64
    Total Number of Accounts

    404

    National Average: 375,227
    Average Account Size

    $2.1 million

    National Average: $23.0 thousand
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    Products and Services

    Td Capital Management LLC provides a number of services, including financial planning services, portfolio management for individuals and small businesses and portfolio management for institutional clients. However, the company did not provide financial planning services to any of its clients in the previous financial year. The company does not sell products or offer services apart from investment advisory services to its investment advisory accounts.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

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    Fee Structure

    Financial advisory fees largely vary depending on which service is offered. However, fee types billed by the company may include some combination of the following fee structures: asset-based, hourly or fixed. Td Capital Management LLC does not provide a wrap fee program, in which the company offers a service bundle for a single fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company provides services to retail investors, high net worth investors, pension plans and charitable organizations. Out of its 404 clients, Td Capital Management LLC's biggest client group by number of accounts is retail investors, although it also caters to 191 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 in AUM or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers reside abroad.

    • High-Net-Worth Individuals* - 47.28%
    • Other Individuals - 50.99%
    • Corporations - 0.74%
    • Charitable Organizations - 0.99%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Td Capital Management LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Td Capital Management LLC

    Nimrod Thompson
    Memphis, TN
    Jere Sights
    Memphis, TN
    Charles Foster
    Memphis, TN
    Christopher Lacy
    Memphis, TN
    Jay Mcdonald
    Memphis, TN
    Colin Prince
    Memphis, TN
    John Harrell
    Memphis, TN
    Nimrod Thompson
    Memphis, TN
    James Dehority
    Memphis, TN

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