Td Waterhouse Asset Management, Inc (New York)


Td Waterhouse Asset Management, Inc is a large advisory firm based in New York. It manages $13.03 billion of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New York.

Td Waterhouse Asset Management 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 Waterhouse Asset Management: assets under management

The assets under management (AUM) of Td Waterhouse Asset Management, Inc is $13.03 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 8% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $13.03 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1 billion each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Td Waterhouse Asset Management, Inc 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.

Careers at Td Waterhouse Asset Management, Inc

Lawrence Michael Waterhouse has been acting as President since 1 Aug 1995. Edwin Ralph Corneiro joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Lawrence Michael Waterhouse Director 1 Aug 1995 Other 815434
Frank Joseph Petrilli Chairman, chief executive officer, president, director 1 Aug 1995 Other 1888267
Richard Howard Neiman Executive vice president, secretary, general counsel, director 1 Aug 1995 Other 878710
David Allen Hartman Senior vice president, chief investment officer 1 Oct 1995 Other 853784
Bruce Kevin Sterns Chief financial officer, executive vice president, treasurer 1 Aug 1996 Other 1963866
Michele Randy Teichner Senior vice president, chief compliance officer 1 Aug 1996 Other 1246845
Inc. Td Waterhouse Group Direct shareholder 1 Jun 1999 75% - 100% 13-4056516
Edwin Ralph Corneiro Chief financial officer 1 Nov 2004 Other 4243203
Timothy Peter Pinnington Chairman, chief executive officer, president, director 1 Nov 2004 Other 4802166

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Td Waterhouse Holdings Indirect shareholder 1 Aug 1995 75% - 100% 13-3400568
The Toronto Dominion Bank Indirect shareholder 1 Oct 1996 75% - 100% 13-5640479

Based in New York

The principal office where Td Waterhouse Asset Management, Inc performs its advisory services is located at 100 Wall Street, New York, NY 10005, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-908-7537 or by fax 212-425-2886. The normal business hours are 9:00 a.m.-5:00 p.m. on Monday - Friday.