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Chief Compliance Officer · TIAA Kaspick, LLC

David S. Lyons

CRD 2701115 · Named on Form ADV at one SEC-registered adviser

At a glance

TIAA Kaspick, LLC, an SEC-registered asset manager based in Boston, MA with $8.7 billion in regulatory assets, lists David S. Lyons on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

  • TIAA Kaspick, LLCChief Compliance OfficerAsset manager · Boston, MA · $8.7B in regulatory assets

AtlasMembers

David’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (9)

4 more people named with David on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.