ADVICE AND PLANNING SERVICES

Latest filing: Mar 26, 2025 (128 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
EVAN POTASH NEW YORK NY S63|2009-01-21|S65|2012-05-22
KRISTEN HORVATH NEW YORK NY S63|2012-02-21|S66|2014-09-08
PAUL SOROKA NEW YORK NY S63|1996-07-24|S65|2015-12-17
BRETT WOOD NEW YORK NY S66|2004-10-19|S65|2021-07-12|S63|2024-04-15
STEPHEN SMITH NEW YORK NY S63|1993-11-08|S66|2005-04-11
AIDA GONZALEZ NEW YORK NY S63|1998-11-02|S65|2003-11-21|S66|2014-02-06
LESLIE BUSCH NEW YORK NY S66|2016-11-10
JAMIE LAPISH NEW YORK NY S63|2000-04-21|S65|2006-12-20
NICOLE JACKSON NEW YORK NY S63|2017-02-22|S66|2021-04-09
JENS MUELLER NEW YORK NY S63|2000-06-07|S65|2006-02-22
BENJAMIN ASHBY NEW YORK NY S63|2006-06-29|S66|2008-03-31
WILLIAM HALL NEW YORK NY S63|2011-11-15|S65|2018-12-31
HENRY SAUR NEW YORK NY S63|1999-09-03|S65|2012-02-01
ROBERT FERREIRA NEW YORK NY S66|2008-03-05
JESSE FAGGIOLI NEW YORK NY S63|2019-09-06|S65|2023-08-03
GREGORY GRASSO NEW YORK NY S63|1986-04-15|S66|2003-12-18
CONNOR BALDWIN NEW YORK NY S66|2022-09-16
RICHARD STAMPS NEW YORK NY S66|2000-03-03
MICHAEL CORREALE NEW YORK NY S66|2009-07-10
MICHAEL KUTZLEB NEW YORK NY S63|1997-01-27|S66|2003-08-12

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-06-02 $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