Hedge Fund Database

TIAA KASPICK, LLC

Adviser information for TIAA KASPICK, LLC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 115
Investment Advisory/Research 16
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 1
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 6,134 $8.1B
Non-Discretionary 6 $2.4M
Total 6,140 $8.1B

Clients

Type Number RAUM
Individuals 20 $187.7M
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 136 $7.6B
State or municipal gov entities <5 $284.3M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsFINANCIAL CONSULTING
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-28179
SEC ERA File Number 801-28179
SEC CIK Numbers 1735101
SEC CRD Numbers 104554
Legal Entity Identifier None

Principal Office

70 FRANKLIN STREET
7TH FLOOR
BOSTON
MA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 650-585-4100, Fax: 650-595-1400

Websites

www.kaspick.com

Chief Compliance Officer

DAVID LYONS
DIR, LEAD COMPLIANCE OFFICER
203 REDWOOD SHORES PARKWAY
SUITE 420
REDWOOD SHORES
CA
United States
Tel: 650-585-1052
Fax: 650-595-1400
(Full email address available in API data)

Regulatory Contact

IAN CELECIA
COUNSEL
560 MISSION STREET
SAN FRANCISCO
CA
United States
Tel: 650-882-3671
Fax: 650-595-1400
(Full email address available in API data)

Industry Affiliates

TEACHERS ADVISORS, LLC Other investment adviser, including financial planners
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA Insurance company or agency
TIAA TRUST, N.A. Banking or thrift institution

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
TIAA-CREF REDWOOD LLC Domestic Entity – SOLE DIRECT OWNER 10/2006 > 75%
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA Domestic Entity TIAA-CREF REDWOOD LLC SOLE OWNER 08/2006 > 75%
TIAA BOARD OF OVERSEERS Domestic Entity TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA SOLE SHAREHOLDER 06/1938 > 75%
GERHARZ, JOSEPH, PATRICK Individual – CHIEF FINANCIAL OFFICER 11/2015 < 5%
LYONS, DAVID, SEAN Individual – CHIEF COMPLIANCE OFFICER 09/2018 < 5%
Trivedi, Himani Individual – MEMBER, BOARD OF MANAGERS 06/2021 < 5%
Iqbal, Mohammad, Ali Individual – CHAIR, BOARD OF MANAGERS/PRESIDENT 07/2022 < 5%
Finkle, Bradley Individual – MEMBER, BOARD OF MANAGERS 12/2022 < 5%
Celecia, Ian Individual – GENERAL COUNSEL 03/2023 < 5%
HEASLIP, DEREK, JAMES Individual – MANAGER 02/2023 < 5%
Immesberger, Richard, Jon Individual – MEMBER, BOARD OF MANAGERS 09/2023 < 5%
Whelchel, Damon Individual – CHIEF INVESTMENT OFFICER 03/2024 < 5%

No. Employees, Historic

20010002019202020212022202320242025151 on 11/27/2019145 on 3/30/2020145 on 3/31/2020145 on 6/25/2020145 on 8/17/2020145 on 11/13/2020110 on 3/31/2021110 on 4/22/2021110 on 4/28/2021110 on 6/7/2021110 on 7/2/2021110 on 12/20/2021110 on 3/30/2022110 on 7/8/2022110 on 1/18/2023110 on 3/31/2023110 on 8/8/2023110 on 10/20/2023110 on 1/2/2024115 on 3/26/2024

RAUM, Historic

20B10B0201920202021202220232024202510527248478 on 11/27/201911578050633 on 3/30/202011578050633 on 3/31/202011578050633 on 6/25/202011578050633 on 8/17/202011578050633 on 11/13/20207602743401 on 3/31/20217602743401 on 4/22/20217602743401 on 4/28/20217602743401 on 6/7/20217602743401 on 7/2/20217602743401 on 12/20/20219069675586 on 3/30/20229069675586 on 7/8/20229069675586 on 1/18/20237262695204 on 3/31/20237262695204 on 8/8/20237262695204 on 10/20/20237262695204 on 1/2/20248094997934 on 3/26/2024

No. Clients, Historic

20010002019202020212022202320242025185 on 11/27/2019185 on 3/30/2020185 on 3/31/2020185 on 6/25/2020185 on 8/17/2020185 on 11/13/2020159 on 3/31/2021159 on 4/22/2021159 on 4/28/2021159 on 6/7/2021159 on 7/2/2021159 on 12/20/2021158 on 3/30/2022158 on 7/8/2022158 on 1/18/2023157 on 3/31/2023157 on 8/8/2023157 on 10/20/2023157 on 1/2/2024156 on 3/26/2024

Holdings

From latest 13F, filed November 4th, 2021 for period ending September 30th, 2021
Name Class Value $USD # Shares Private Fund
EXXON MOBIL CORP COM COM 265 5K –
SPDR S&P 500 ETF TR TR UNIT COM 5K 12K –
AMERICAN EXPRESS CO COM COM 3K 16K –
MFS MULTIMARKET INCOME TR SH BEN INT COM 71 11K –
VANGUARD SCOTTSDALE FDS SHORT TERM TREAS COM 256 4K –
DIMENSIONAL ETF TRUST US TARGETED VLU COM 925 21K –
ISHARES TR MSCI EAFE ETF COM 1K 19K –
ISHARES TR RUS 1000 ETF COM 4K 15K –
ISHARES TR RUS 2000 VAL ETF COM 568 4K –
ISHARES TR RUSSELL 2000 ETF COM 1K 6K –
PROCTER AND GAMBLE CO COM COM 641 5K –
AMERIPRISE FINL INC COM COM 1K 4K –
VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF COM 3K 68K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF COM 1K 21K –
VANGUARD INDEX FDS VALUE ETF COM 1K 7K –
3M CO COM COM 465 3K –