ADVICE AND PLANNING SERVICES

Latest filing: Oct 07, 2024 (194 days ago)

View on IAPD

Adviser Website

Adviser

AUM

$32,676,871,332

0% change vs. 1 year ago

-17% change vs. 3 years ago

7% change vs. 5 years ago

123% change vs. 10 years ago

Employee Count

1,519

0% change vs. 1 year ago

24% change vs. 3 years ago

-21% change vs. 5 years ago

24% change vs. 10 years ago

Main Office

NEW YORK, NY

730 THIRD AVENUE, NEW YORK, NY, UNITED STATES, 10017-3206

Client AUM

Discretion	AUM
Discretionary	$32.7
Non-Discretionary	$0.0
Total	$32.7

Client	AUM
Retail	$32.7
Pooled	$0.0
Institutional	$0.0
Total	$32.7

Retail	Accounts	AUM
Individual	27,334	$8.1
Average Individual AUM		$294,623
HNW	46,222	$24.6
Average HNW AUM		$532,290
Retail Total	73,556	$32.7
Average Retail AUM		$443,971

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian	Location	AUM
PERSHING LLC	JERSEY CITY-NJ-USA	$32.7

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown	AUM
Total SMA AUM	$32.7
Retail SMA AUM	$32.7
Institutional SMA AUM	$0.0

Asset Class	%	AUM
Equity Exch	26%	$8.5
Equity Non-Exch	0%	$0.0
Govt Agency	0%	$0.0
Municipal	0%	$0.0
Sovereign	0%	$0.0
IG Credit	0%	$0.0
HY Credit	0%	$0.0
Derivatives	0%	$0.0
Investment Companies	73%	$23.9
Other Pools	0%	$0.0
Cash	1%	$0.3
Other	0%	$0.0
Total	100%	$32.7

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates	AUM	Business Types	CRD Number
TEACHERS ADVISORS, LLC	$368.6		107157
TIAA-CREF INVESTMENT MANAGEMENT LLC	$249.9		107168
NUVEEN ASSET MANAGEMENT, LLC	$239.6		155584
NUVEEN FUND ADVISORS, LLC	$150.4		104626
NUVEEN ALTERNATIVES ADVISORS LLC	$141.6		160255
TIAA-CREF TUITION FINANCING, INC.	$43.1	municipal advisor	108580
CHURCHILL ASSET MANAGEMENT LLC	$42.5		175092
TIAA KASPICK, LLC	$8.1		104554
CHURCHILL DLC ADVISOR LLC	$1.7		304945
TIAA-CREF INSURANCE AGENCY, LLC	$0.0		-
TIAA TRUST, N.A.	$0.0		-
TIAA-CREF LIFE INSURANCE COMPANY	$0.0		-
NUVEEN INVESTMENT MANAGEMENT INTERNATIONAL LIMITED	$0.0		306545
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	$0.0		-
NUVEEN SECURITIES, LLC	$0.0	broker-dealer	469
NUVEEN MANAGEMENT AIFM LIMITED	$0.0		283854

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

13 active

Name	Title
BADWE, RASHMI DILIP IAPD Broker	ELECTED MANAGER
KAHRMANN, ANGELA MARIE IAPD Broker	PRESIDENT, CHIEF EXECUTIVE OFFICER, ELECTED MANAGER
ABBOTT, ROSS HAMLET IAPD Broker	CHIEF OPERATING OFFICER
BELLUCCI, RAYMOND JOHN IAPD Broker	ELECTED MANAGER
LYNN, LISA KAY IAPD Broker	CHIEF COMPLIANCE OFFICER
BARNHILL, HELEN IAPD Broker	CHIEF LEGAL OFFICER
HEASLIP, DEREK JAMES IAPD Broker	BOARD MEMBER
LEWIS, BENJAMIN HERBERT IAPD Broker	BOARD MEMBER
MUKHERJEE, NILADRI IAPD Broker	BOARD MEMBER
STICKROD, CHRISTOPHER EUGENE IAPD Broker	BOARD MEMBER
MANGANO, JENNIFER LYNN IAPD Broker	CHIEF FINANCIAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

1,674 active representatives found, showing 20 random

Name	City	State	Exams
VICTOR ROACH	NEW YORK	NY	S66\|2000-06-15
MICHAEL LAVELANET	NEW YORK	NY	S66\|2016-11-17
CINDY WITWER	NEW YORK	NY	S63\|2002-01-31\|S66\|2017-04-03
JOSEPH NICHOLS	NEW YORK	NY	S63\|2019-10-21\|S66\|2021-10-01
KANDI RUDOLPH	NEW YORK	NY	S66\|2010-06-26
GINTO MATHEW	NEW YORK	NY	S63\|2012-04-02\|S66\|2014-09-05
TROY ROZICH	NEW YORK	NY	S66\|2005-02-09
REGINALD WHEELER	NEW YORK	NY	S63\|2012-01-19\|S65\|2016-08-22
ERIC HILL	NEW YORK	NY	S63\|2017-01-09\|S66\|2017-06-26
MICHAEL DOODY	NEW YORK	NY	S66\|2013-08-09
MICHAEL SMITH	NEW YORK	NY	S66\|2004-07-06
ELENA IRIMIA	NEW YORK	NY	S66\|2002-03-18
JENS MUELLER	NEW YORK	NY	S63\|2000-06-07\|S65\|2006-02-22
MEGHAN CLARK	NEW YORK	NY	S66\|2007-02-14
CHAD BEAVER	NEW YORK	NY	S63\|2007-08-11\|S66\|2015-01-09
CHRISTIAN WATHEN	NEW YORK	NY	S65\|2012-03-02\|S63\|2014-06-16
JOHN STEVENSON	NEW YORK	NY	S63\|2002-11-20\|S66\|2006-02-03
HENRY SAUR	NEW YORK	NY	S63\|1999-09-03\|S65\|2012-02-01
IVOR MILLS	NEW YORK	NY	S63\|1993-03-23\|S66\|2002-10-01
BRANDON WALKER	NEW YORK	NY	S63\|2011-05-24\|S66\|2013-10-01

ADVDB.CO • SOURCE: SEC

History

Date	AUM	AUM ∆	AUM % ∆	Empl	Empl ∆	Empl % ∆
2025-03-06	$32.7	$0.0	0%	1,519	0	0%
2024-04-02	$32.7	$0.0	0%	1,519	0	0%
2023-04-04	$30.9	$1.8	6%	1,235	284	23%
2022-04-01	$39.3	-$6.6	-17%	1,221	298	24%
2021-04-05	$36.4	-$3.7	-10%	1,262	257	20%
2020-04-01	$30.5	$2.2	7%	1,913	-394	-21%
2019-04-01	$25.2	$7.5	30%	1,988	-469	-24%
2018-04-02	$25.8	$6.9	27%	1,991	-472	-24%
2017-04-01	$21.7	$11.0	51%	1,966	-447	-23%
2016-04-01	$16.8	$15.9	95%	1,675	-156	-9%
2015-04-01	$14.7	$18.0	123%	1,224	295	24%
2014-04-01	$7.3	$25.4	346%	780	739	95%
2013-04-01	$4.6	$28.1	613%	560	959	171%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS

NY, AK-02/03/2006, AL-01/27/2006, AR-01/31/2006, AZ-03/31/2005, CA-03/31/2005, CO-09/24/2004, CT-09/24/2004, DC-09/24/2004, DE-02/06/2006, FL-04/01/2005, GA-03/31/2005, HI-01/27/2006, IA-03/31/2005, ID-01/27/2006, IL-04/04/2005, IN-09/24/2004, KS-01/27/2006, KY-03/31/2005, LA-01/27/2006, MA-09/24/2004, MD-09/24/2004, ME-01/27/2006, MI-03/31/2005, MN-04/12/2005, MO-09/24/2004, MS-01/27/2006, MT-01/27/2006, NC-09/24/2004, ND-01/27/2006, NE-03/31/2005, NH-01/27/2006, NJ-09/24/2004, NM-01/27/2006, NV-01/27/2006, NY-09/24/2004, OH-03/31/2005, OK-01/27/2006, OR-01/27/2006, PA-03/31/2005, PR-01/27/2006, RI-01/27/2006, SC-01/27/2006, SD-01/30/2006, TN-04/01/2005, TX-03/31/2005, UT-03/31/2005, VA-09/24/2004, VI-03/28/2008, VT-01/27/2006, WA-03/31/2005, WI-01/27/2006, WV-01/27/2006, WY-03/31/2018

ADVISER ACTIVITIES

FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
MANAGER SELECTION

OTHER ACTIVITIES

BROKER DEALER

ADVDB.CO • SOURCE: SEC FORM ADV