AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $8.1 |
| Non-Discretionary | $0.0 |
| Total | $8.1 |
| Client | AUM |
|---|---|
| Retail | $0.2 |
| Pooled | $0.0 |
| Institutional | $7.9 |
| Total | $8.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 20 | $0.2 |
| Average Individual AUM | $9,383,480 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 20 | $0.2 |
| Average Retail AUM | $9,383,480 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $7.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $8.1 |
| Retail SMA AUM | $0.2 |
| Institutional SMA AUM | $7.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 96% | $7.8 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $0.2 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.2 |
| Other | 0% | $0.0 |
| Total | 100% | $8.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| TEACHERS ADVISORS, LLC | $368.6 | 107157 | |
| TIAA TRUST, N.A. | $0.0 | - | |
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
12 active
| Name | Title |
|---|---|
| GERHARZ, JOSEPH, PATRICK | CHIEF FINANCIAL OFFICER |
| LYONS, DAVID, SEAN | CHIEF COMPLIANCE OFFICER |
| TRIVEDI, HIMANI | MEMBER, BOARD OF MANAGERS |
| IQBAL, MOHAMMAD, ALI | CHAIR, BOARD OF MANAGERS/PRESIDENT |
| FINKLE, BRADLEY | MEMBER, BOARD OF MANAGERS |
| CELECIA, IAN | GENERAL COUNSEL |
| HEASLIP, DEREK, JAMES | MANAGER |
| IMMESBERGER, RICHARD, JON | MEMBER, BOARD OF MANAGERS |
| WHELCHEL, DAMON | CHIEF INVESTMENT OFFICER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $8.1 | $0.0 | 0% | 115 | 0 | 0% |
| 2024-04-02 | $8.1 | $0.0 | 0% | 115 | 0 | 0% |
| 2023-04-04 | $7.3 | $0.8 | 11% | 110 | 5 | 5% |
| 2022-04-01 | $9.1 | -$1.0 | -11% | 110 | 5 | 5% |
| 2021-04-05 | $7.6 | $0.5 | 6% | 110 | 5 | 5% |
| 2020-04-01 | $11.6 | -$3.5 | -30% | 145 | -30 | -21% |
| 2019-04-01 | $10.5 | -$2.4 | -23% | 151 | -36 | -24% |
| 2018-04-02 | $11.1 | -$3.0 | -27% | 140 | -25 | -18% |
| 2017-04-01 | $6.1 | $2.0 | 32% | 114 | 1 | 1% |
| 2016-04-01 | $5.7 | $2.4 | 42% | 111 | 4 | 4% |
| 2015-04-01 | $6.0 | $2.1 | 36% | 110 | 5 | 5% |
| 2014-04-01 | $5.8 | $2.3 | 40% | 123 | -8 | -7% |
| 2013-04-01 | $4.1 | $4.0 | 96% | 83 | 32 | 39% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| MA, CA-09/27/1989, CO-04/04/2008, CT-03/26/2010, DC-04/04/2008, IL-04/09/2008, IN-04/04/2008, MA-02/25/2002, MN-04/30/2003, MO-03/30/2012, NC-03/29/2018, NH-04/04/2008, NY-03/29/2004, OH-04/04/2008, OR-04/04/2008, PA-04/04/2008, TX-03/29/2004, WA-04/04/2000 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV