TDA INVESTMENT GROUP
TDA, INC. Legal Name
Adviser information for TDA INVESTMENT GROUP last updated from Form ADV on December 11th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $805.6M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $805.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $60.9M |
| Pension and profit sharing plans | <5 | $744.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsREAL ESTATE INVESTMENT MANAGEMENT FOR PENSION FUNDS |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Real estate broker, dealer, or agent |
Identifiers
| SEC RIA File Number | 801-39280 |
|---|---|
| SEC ERA File Number | 801-39280 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112016 |
| Legal Entity Identifier | None |
Principal Office
2025 PIONEER COURTSAN MATEO
CA
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 650-343-6333, Fax: 650-343-0858
Chief Compliance Officer
ERIK ST. CHARLES
CORPORATE SECRETARY
2025 PIONEER COURT
SAN MATEO
CA
United States
Tel:
650-343-6333
Fax:
650-343-0858
E***@*********M
(Full email address available in API data)
Regulatory Contact
GARRY J. SPANNER
CEO AND PRESIDENT
2025 PIONEER COURT
SAN MATEO
CA
United States
Tel:
650-343-6333
Fax:
650-343-0858
G****@*********M
(Full email address available in API data)
Industry Affiliates
| TDA MANAGER, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TDA STRATEGIC REAL ESTATE FUND, LLC | Real Estate Fund | $60.9M | $5.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SPANNER, GARRY, JAMES | Individual | – | CEO, PRESIDENT | 10/2000 | > 75% |
| St. Charles, Erik, David | Individual | – | CCO & CORPORATE SECRETARY | 04/2017 | < 5% |
| Perkins, Robert, T | Individual | – | EXECUTIVE VICE PRESIDENT | 05/2007 | < 5% |
| KWOK, VICTOR, T | Individual | – | CHIEF FINANCIAL OFFICER | 09/2019 | < 5% |