Td Capital Management LLC (Memphis)

Name: Td Capital Management LLC
Address: 5100 Poplar Avenue, Memphis, TN, 38137 1400
Telephone: 901-681-0021

Td Capital Management LLC is a large advisory firm based in Memphis. It manages $597.07 million of regulatory assets for 367 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arkansas, Colorado, Florida, and 7 other states.

Td Capital Management provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. 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 Capital Management: assets under management

The assets under management (AUM) of Td Capital Management LLC is $597.07 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 495% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $597.07 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.63 million each.

Td Capital Management has custody of $24.72 million in cash and securities for 49 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 68% of the total AUM. The second-largest asset type is investment and business development companies, which make up 29% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Td Capital Management LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jere Matthews Sights serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Jere Matthews Sights is high net worth individuals with 160 clients and $512.25 million of assets under management. Among the 6 most similar advisory firms, Td Capital Management has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $597.07 million for 367 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Td Capital Management doesn't advise any private funds.

Careers at Td Capital Management LLC

The company employs 12 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 9 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Jere Matthews Sights has been acting as President since 1 Sep 2017. John Robert Harrell joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Nimrod Gordon Thompson	Managing member	1 Apr 1996	Other	4361188
Robert Arthur Svoboda	Member	1 Apr 1996	Other	4361240
Lloyd Douglas Smith	Member/ managing director/ chief compliance officer	1 Apr 1996	Other	4361237
Nimrod Gordon Thompson	Managing member and chief compliance officer	1 Jan 1997	50% - 75%	4361188
Lloyd Douglas Smith	Member/ managing director	1 Jan 1997	50% - 75%	4361237
Robert Arthur Svoboda	Member	1 Jan 1997	Other	4361240
James S. Dickey	Member	1 Jul 2001	Other	4498316
Stephen T. Dunavant	Member	1 Jul 2001	Other	4498320
Lloyd M. Grissinger	Member	1 Jul 2001	Other	4498321
Daniel W. Walker	Member	1 Jul 2001	Other	4498323
Jeffrey S. Mccune	Member	1 Jul 2001	Other	4498324
James Stuart Dickey	Member	1 Jul 2001	Other	4498316
Stephen Thomas Dunavant	Member	1 Jul 2001	Other	4498320
Lloyd Mundorf Grissinger	Member	1 Jul 2001	Other	4498321
Daniel Ward Walker	Member	1 Jul 2001	Other	4498323
Jeffrey Scott Mccune	Member	1 Jul 2001	Other	4498324
Stephen Michael Lackey	Member	1 Dec 2002	Other	4636461
Danny Ray Snow	Member	1 Dec 2003	Other	4767426
Danny R. Snow	Member	1 Dec 2003	Other	4767426
Brian Brooks Mcculler	Member	1 Dec 2004	Other	5122578
Charles Abner Henderson	Member	1 Jan 2007	Other	5311120
Stephen Riley Pace	Member	1 Jan 2007	Other	5311121
Ronald Baruch Weiss	Member	1 Jan 2008	Other	5494043
Mark Edward Grochau	Member	1 Dec 2009	Other	5764696
John Robert Harrell	Member	1 Jan 2010	Other	5432794
Marshall Kyle Hollis	Member	1 Jan 2010	Other	5764693
Nimrod Gordon Thompson	Managing member	1 Feb 2010	Other	4361188
Lloyd Douglas Smith	Member/ chief compliance officer	1 Feb 2010	Other	4361237
Nimrod Gordon Thompson	Managing member	1 Dec 2011	Other	4361188
Lloyd Douglas Smith	Member/ managing director/ chief compliance officer	1 Dec 2011	Other	4361237
Robert Arthur Svoboda	Member	1 Dec 2011	Other	4361240
Stephen Thomas Dunavant	Member	1 Dec 2011	Other	4498320
Lloyd Mundorf Grissinger	Member	1 Dec 2011	Other	4498321
John Robert Harrell	Director	1 Jan 2017	Other	5432794
Christopher Lee Lacy	Director, chief compliance officer	1 Jan 2017	Other	4916880
Margaret Curtis Campbell	Director	1 Jan 2017	Other	6925196
Jere Matthews Sights	Director	1 Sep 2017	Other	6859158

Based in Memphis

The principal office where Td Capital Management LLC performs its advisory services is located at 5100 Poplar Avenue, Memphis, TN 38137 1400, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 901-681-0021 or by fax 901-842-2824. The normal business hours are 8 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at tdcapitalmanagement.com.