ADVICE AND PLANNING SERVICES
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC Legal Name
Adviser information for ADVICE AND PLANNING SERVICES last updated from Form ADV on March 27th, 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 | 1519 |
|---|---|
| Investment Advisory/Research | 1115 |
| Registered Broker-Dealer Representatives | 1413 |
| Registered State Investment Advisers | 1270 |
| Licensed Agents of an Insurance Company | 1220 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 73,602 | $32.7B |
| Non-Discretionary | 0 | $0 |
| Total | 73,602 | $32.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 27,334 | $8.1B |
| HNW Individuals | 46,222 | $24.6B |
| 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 | 21 | $8.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 25 | $11.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 31192 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 96000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMCOMPENSATION FROM AFFILIATES |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 32.7B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PORTFOLIO ADVISOR | ADVICE AND PLANNING SERVICES |
| TIAA PERSONAL PORTFOLIO | ADVICE AND PLANNING SERVICES |
Principal Office
730 THIRD AVENUENEW YORK
NY
United States
Monday - Friday, 8:15 AM - 5:00 PM
Tel: 212-490-9000, Fax: 800-914-8922
Chief Compliance Officer
JEREMY INTIHAR
CHIEF COMPLIANCE OFFICER
8500 ANDREW CARNEGIE BLVD
CHARLOTTE
NC
United States
Tel:
980-766-8179
J*************@*******G
(Full email address available in API data)
Regulatory Contact
MICHAEL IRION
COMPLIANCE OFFICER
1670 BROADWAY
SUITE 2200
DENVER
CO
United States
Tel:
303-626-4057
M*****@*******G
(Full email address available in API data)
Industry Affiliates
| CHURCHILL ASSET MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CHURCHILL DLC ADVISOR LLC | Other investment adviser, including financial planners |
| NUVEEN ALTERNATIVES ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NUVEEN ASSET MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| NUVEEN FUND ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NUVEEN INVESTMENT MANAGEMENT INTERNATIONAL LIMITED | Other investment adviser, including financial planners |
| NUVEEN REAL ESTATE | Other investment adviser, including financial planners |
| NUVEEN SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TEACHERS ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | Insurance company or agency |
| TIAA KASPICK, LLC | Other investment adviser, including financial planners |
| TIAA TRUST, N.A. | Banking or thrift institution |
| TIAA-CREF INSURANCE AGENCY, LLC | Insurance company or agency |
| TIAA-CREF INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TIAA-CREF LIFE INSURANCE COMPANY | Insurance company or agency |
| TIAA-CREF TUITION FINANCING, INC. | Other investment adviser, including financial plannersRegistered municipal advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TIAA BOARD OF OVERSEERS | Domestic Entity | TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER | 09/1990 | > 75% |
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | Domestic Entity | – | SOLE OWNER OF APPLICANT | 09/1990 | > 75% |
| BADWE, RASHMI DILIP | Individual | – | ELECTED MANAGER | 05/2016 | < 5% |
| KAHRMANN, ANGELA MARIE | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER, ELECTED MANAGER | 06/2019 | < 5% |
| ABBOTT, ROSS HAMLET | Individual | – | CHIEF OPERATING OFFICER | 06/2019 | < 5% |
| BELLUCCI, RAYMOND JOHN | Individual | – | ELECTED MANAGER | 03/2020 | < 5% |
| LYNN, LISA KAY | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2020 | < 5% |
| BARNHILL, HELEN | Individual | – | CHIEF LEGAL OFFICER | 08/2022 | < 5% |
| HEASLIP, DEREK JAMES | Individual | – | BOARD MEMBER | 06/2023 | < 5% |
| LEWIS, BENJAMIN HERBERT | Individual | – | BOARD MEMBER | 06/2023 | < 5% |
| MUKHERJEE, NILADRI | Individual | – | BOARD MEMBER | 06/2023 | < 5% |
| STICKROD, CHRISTOPHER EUGENE | Individual | – | BOARD MEMBER | 06/2023 | < 5% |
| MANGANO, JENNIFER LYNN | Individual | – | CHIEF FINANCIAL OFFICER | 11/2023 | < 5% |