ADVICE AND PLANNING SERVICES

Latest filing: Aug 16, 2024 (75 days ago)
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AUM

$32,676,871,332
6% change vs. 1 year ago
-10% change vs. 3 years ago
30% change vs. 5 years ago
346% change vs. 10 years ago

Employee Count

1,519
23% change vs. 1 year ago
20% change vs. 3 years ago
-24% change vs. 5 years ago
95% 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 ELECTED MANAGER
KAHRMANN, ANGELA MARIE PRESIDENT, CHIEF EXECUTIVE OFFICER, ELECTED MANAGER
ABBOTT, ROSS HAMLET CHIEF OPERATING OFFICER
BELLUCCI, RAYMOND JOHN ELECTED MANAGER
LYNN, LISA KAY CHIEF COMPLIANCE OFFICER
BARNHILL, HELEN CHIEF LEGAL OFFICER
HEASLIP, DEREK JAMES BOARD MEMBER
LEWIS, BENJAMIN HERBERT BOARD MEMBER
MUKHERJEE, NILADRI BOARD MEMBER
STICKROD, CHRISTOPHER EUGENE BOARD MEMBER
MANGANO, JENNIFER LYNN CHIEF FINANCIAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

1,674 active representatives found, showing 20 random

Name City State Exams Designations
WILLIAM LEAK NEW YORK NY S63|2000-08-31|S66|2004-08-05
VAUGHN WAHLBERG NEW YORK NY S66|2021-09-27
GEOFFREY SOUTHWELL NEW YORK NY S63|2012-05-08|S65|2018-12-28
TIMOTHY RODGERS NEW YORK NY S63|1995-06-21|S66|2020-11-30
JAMES WHITE NEW YORK NY S66|2014-12-05
BRIAN FORD NEW YORK NY S63|2004-02-06|S66|2011-09-09
AMY SMITH NEW YORK NY S66|2013-01-15
RYAN MATHIS NEW YORK NY S63|1999-10-28|S65|2005-06-09
ERIC ROBERTS NEW YORK NY S66|2010-04-19
LARA MAYHEW NEW YORK NY S63|2016-03-14|S65|2021-01-30
BRANDON WRIGHT NEW YORK NY S63|2004-07-07|S66|2014-01-21
SHANE ROGHAAR NEW YORK NY S63|2000-04-20|S66|2005-04-28
JORON HOWEY NEW YORK NY S63|2014-12-30|S65|2022-01-26
SHAWN FORD NEW YORK NY S63|2006-07-17|S65|2007-04-27
ANTHONY THEODORE NEW YORK NY S66|2003-07-28
MARTIN ARSLANIAN-TORRE NEW YORK NY S63|2018-07-30|S65|2018-11-29
NICHOLAS BRADY NEW YORK NY S63|2012-02-11|S66|2022-04-07
DIANA URICHICH NEW YORK NY S63|2000-11-30|S66|2016-08-15
JOSEPH NICHOLS NEW YORK NY S63|2019-10-21|S66|2021-10-01
ELVIA OSTIGUIN NEW YORK NY S63|2000-03-31|S65|2006-08-18|S66|2022-10-13

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $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