ADVICE AND PLANNING SERVICES

Latest filing: Mar 26, 2025 (81 days ago)
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AUM

$34,343,329,152
5% change vs. 1 year ago
-13% change vs. 3 years ago
13% change vs. 5 years ago
134% change vs. 10 years ago

Employee Count

1,319
-13% change vs. 1 year ago
8% change vs. 3 years ago
-31% change vs. 5 years ago
8% 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 $34.3
Non-Discretionary $0.0
Total $34.3
Client AUM
Retail $34.3
Pooled $0.0
Institutional $0.0
Total $34.3
Retail Accounts AUM
Individual 26,447 $8.1
Average Individual AUM $306,761
HNW 46,314 $26.2
Average HNW AUM $566,009
Retail Total 72,761 $34.3
Average Retail AUM $471,778

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 $34.3
Retail SMA AUM $34.3
Institutional SMA AUM $0.0
Asset Class % AUM
Equity Exch 20% $6.9
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 79% $27.1
Other Pools 0% $0.0
Cash 1% $0.3
Other 0% $0.0
Total 100% $34.3

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 $403.0 107157
TIAA-CREF INVESTMENT MANAGEMENT LLC $271.4 107168
NUVEEN ASSET MANAGEMENT, LLC $259.9 155584
NUVEEN FUND ADVISORS, LLC $162.6 104626
NUVEEN ALTERNATIVES ADVISORS LLC $137.1 160255
TIAA-CREF TUITION FINANCING, INC. $60.8 municipal advisor 108580
CHURCHILL ASSET MANAGEMENT LLC $47.1 175092
TIAA KASPICK, LLC $8.5 104554
CHURCHILL DLC ADVISOR LLC $2.1 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
GAETANO DEFAZIO NEW YORK NY S66|2012-11-02
GRANT MINK NEW YORK NY S66|2023-09-28
JOHN DOROTHY NEW YORK NY S63|2018-04-30|S66|2019-11-15
KIMYA KAMRAN NEW YORK NY S63|2020-05-30|S66|2021-11-07
NELSON LAKE NEW YORK NY S63|1994-08-29|S65|2023-02-03
JANET MCCABE NEW YORK NY S63|1985-09-30|S65|1996-08-09|S66|2006-03-07
MARILYN ANSTEY NEW YORK NY S63|1986-08-19|S66|2018-05-26
TRACY KENNARD NEW YORK NY S63|1989-12-18|S65|1999-07-20
GREGORY VEZZOSI NEW YORK NY S66|2015-12-10
ALEXANDER THOMPSON NEW YORK NY S63|2005-12-27|S66|2006-07-31
JESSE FAGGIOLI NEW YORK NY S63|2019-09-06|S65|2023-08-03
LISA DIETER NEW YORK NY S66|2012-06-07
NATHAN DUFRESNE NEW YORK NY S65|2020-05-19|S63|2022-08-23
JAMES WHITE NEW YORK NY S66|2014-12-05
CHARLES DAWKINS NEW YORK NY S66|2015-11-10
ERNEST ROCKEY NEW YORK NY S65|1995-09-05|S63|2022-05-20
JONATHAN LUCAS NEW YORK NY S63|1999-01-04|S65|2017-12-14
ANNE RILEY NEW YORK NY S66|2005-02-21|S65|2024-05-23
CHRISTOPHER WILSON NEW YORK NY S66|2003-08-22
SHERWIN PONTEJOS NEW YORK NY S63|1997-07-22|S65|2011-12-08

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-05-02 $34.3 $0.0 0% 1,319 0 0%
2025-04-21 $34.3 $0.0 0% 1,319 0 0%
2024-04-02 $32.7 $1.7 5% 1,519 -200 -13%
2023-04-04 $30.9 $3.4 11% 1,235 84 7%
2022-04-01 $39.3 -$4.9 -13% 1,221 98 8%
2021-04-05 $36.4 -$2.1 -6% 1,262 57 5%
2020-04-01 $30.5 $3.9 13% 1,913 -594 -31%
2019-04-01 $25.2 $9.2 36% 1,988 -669 -34%
2018-04-02 $25.8 $8.5 33% 1,991 -672 -34%
2017-04-01 $21.7 $12.7 58% 1,966 -647 -33%
2016-04-01 $16.8 $17.6 105% 1,675 -356 -21%
2015-04-01 $14.7 $19.7 134% 1,224 95 8%
2014-04-01 $7.3 $27.0 369% 780 539 69%
2013-04-01 $4.6 $29.8 649% 560 759 136%

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
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES
BROKER DEALER

ADVDB.CO • SOURCE: SEC FORM ADV