CERITY PARTNERS RETIREMENT PLAN ADVISORS
CERITY PARTNERS RETIREMENT PLAN ADVISORS LLC Legal Name
Adviser information for CERITY PARTNERS RETIREMENT PLAN ADVISORS last updated from Form ADV on March 28th, 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 | 69 |
|---|---|
| Investment Advisory/Research | 53 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 53 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 408 | $2.8B |
| Non-Discretionary | 193 | $13.5B |
| Total | 601 | $16.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| 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 | 599 | $16.2B |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 2 | $19.3M |
| 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting servicesFINANCIAL WELLNESS COACHING |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-76705 |
|---|---|
| SEC ERA File Number | 801-76705 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164198 |
| Legal Entity Identifier | None |
Principal Office
99 PARK AVENUE16TH FLOOR
NEW YORK
NY
United States
Monday - Friday, BY APPOINTMENT
Tel: 212-850-4260, Fax: 212-937-1942
Chief Compliance Officer
ARTHUR PROSTICK
CHIEF COMPLIANCE OFFICER
321 BROADWAY
SUITE 500
SARATOGA SPRINGS
NY
United States
Tel:
212-476-9008
A********@*****************M
(Full email address available in API data)
Regulatory Contact
NICOLE SCAFFIDI
DEPUTY CHIEF COMPLIANCE OFFICER
99 PARK AVENUE
16TH FLOOR
NEW YORK
NY
United States
Tel:
646-928-8784
N********@*****************M
(Full email address available in API data)
Industry Affiliates
| ARGI ALTERNATIVE INVESTMENT MANAGEMENT COMPANY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARGI INVESTMENT SERVICES, LLC | Other investment adviser, including financial planners |
| BAJA WEALTH ADVISORS LLC | Other investment adviser, including financial planners |
| CERITY PARTNERS LLC | Other investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles |
| CP RISK MANAGEMENT SERVICES LLC | Insurance company or agency |
| PRIVATE MARKET OPPORTUNITIES FUND | Sponsor, GP, manager of pooled investment vehicles |
| SAGE ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CERITY PARTNERS LLC | Domestic Entity | – | MANAGER | 04/2012 | > 75% |
| SECO, ROBERT, JOSEPH | Individual | – | GENERAL COUNSEL | 04/2012 | < 5% |
| MISCINSKI, KURT, PATRICK | Individual | – | PRESIDENT | 04/2012 | < 5% |
| PACE, BENJAMIN, A | Individual | – | CHIEF INVESTMENT OFFICER | 10/2014 | < 5% |
| CERITY PARTNERS EQUITY HOLDING LLC | Domestic Entity | CERITY PARTNERS LLC | MEMBER | 09/2018 | > 75% |
| CERITY PARTNERS EOE LLC | Domestic Entity | CP HOLDINGS I LLC | MEMBER | 09/2018 | 25-50% |
| MISCINSKI, KURT, PATRICK | Individual | CERITY PARTNERS EOE LLC | MANAGER | 11/2017 | |
| CURTIS, CHRISTOPHER, GEORGE | Individual | – | CHIEF FINANCIAL OFFICER | 03/2021 | < 5% |
| GENSTAR CAPITAL PARTNERS X, L.P. | Domestic Entity | CP HOLDINGS I LLC | MEMBER | 07/2022 | 25-50% |
| GENSTAR CAPITAL X, L.P. | Domestic Entity | GENSTAR CAPITAL PARTNERS X, L.P. | GENERAL PARTNER | 07/2022 | |
| GENSTAR X GP LLC | Domestic Entity | GENSTAR CAPITAL X, L.P. | GENERAL PARTNER | 07/2022 | |
| CP MERGER II LLC | Domestic Entity | CERITY PARTNERS EQUITY HOLDING LLC | MEMBER | 07/2022 | > 75% |
| CP MERGER I LLC | Domestic Entity | CP MERGER II LLC | MEMBER | 07/2022 | > 75% |
| CP INTERMEDIATE II LLC | Domestic Entity | CP MERGER I LLC | MEMBER | 07/2022 | > 75% |
| CP INTERMEDIATE I LLC | Domestic Entity | CP INTERMEDIATE II LLC | MEMBER | 07/2022 | > 75% |
| CP HOLDINGS I LLC | Domestic Entity | CP-ACP LLC | MEMBER | 07/2022 | > 75% |
| CP-RTS LLC | Domestic Entity | CP INTERMEDIATE I LLC | MEMBER | 11/2022 | > 75% |
| CP-ACP LLC | Domestic Entity | CP-MCM LLC | MEMBER | 01/2023 | > 75% |
| CP-MCM LLC | Domestic Entity | CP-RTS LLC | MEMBER | 01/2023 | > 75% |
| HILDEN, KEVIN, DAVID | Individual | – | CHIEF OPERATIONS OFFICER | 05/2018 | < 5% |
| QUINLAN, NEIL, LAWRENCE | Individual | – | DIRECTOR OF OPERATIONS | 04/2023 | < 5% |
| PROSTICK, ARTHUR, ISOM | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |