Broker-dealer firm · New York, NY
Advice and Planning Services
Tiaa-Cref Individual & Institutional Services, LLC · SEC-registered investment adviser · CRD 20472 · SEC 801-63550
At a glance
Advice and Planning Services is an SEC-registered investment adviser based in New York, New York, with $37.9 billion in regulatory assets under management as of its Form ADV filed July 6, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 72,469 individual clients. By Form ADV it is a broker-dealer firm, ranked 30th of 391 broker-dealer firms and 542nd of 17,210 SEC-registered advisers by assets.
Main office 212-490-9000tiaa.orgLinkedInAs filed on Form ADV
- Regulatory AUM
- $38B
- Rank among broker-dealer firms
- #30 of 391
- Rank among all SEC RIAs
- #542 of 17,210
- Rank in New York
- #138 of 2,591
- Individual clients
- 72,469
- High-net-worth clients
- 46,802
- Accounts
- 72,503
- Discretionary
- 100% of AUM
- Employees
- 1,293
- Advisory staff
- 1,020
- Offices
- 144
Owners and executives on its Form ADV
- Ross Hamlet AbbottChief Operating Officer, Elected Manager
- Raymond John BellucciElected Manager
- Helen Gwyn BarnhillChief Legal Officer
- Derek James HeaslipElected Manager
- Benjamin Herbert LewisElected Manager
- Niladri MukherjeeElected Manager
- Christopher Eugene StickrodElected Manager
- Jeremy Ross IntiharChief Compliance Officer - Registered Investment Adviser
- Scott William WeinsteinChief Compliance Officer - Broker Dealer
- Shankar SaravananVice President, Elected Manager
- Julian Mauro D AmbrosiPresident, CEO, Elected Manager
- James J DeatsElected Manager
Custody and brokerage
Broker-dealer
Hybrid RIA
Advice and Planning Services is a hybrid RIA: 1,190 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Nuveen Securities, LLC.
- Nuveen Securities, LLC ↗CRD 469
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 46,802 | $30B | 78% |
| Individuals | 25,667 | $8.4B | 22% |
| Corporations or other businesses | 20 | $11M | <1% |
| Charitable organizations | 14 | $6M | <1% |
Disciplinary disclosures
Advice and Planning Services answers yes to 26 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗tiaa.org ↗
AtlasMembers
The full record on Advice and Planning Services
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 38 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 13 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 5Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Advice and Planning Services manage?
Advice and Planning Services reports $37.9 billion in regulatory assets under management across 72,503 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 6, 2026.
What kind of firm is Advice and Planning Services?
Advice and Planning Services is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons.
Who are Advice and Planning Services’s clients?
By assets, its largest client types are high-net-worth individuals ($29.6 billion, 46,802 clients); individuals ($8.4 billion, 25,667 clients); corporations or other businesses ($11 million, 20 clients).
Does Advice and Planning Services have any disciplinary history?
Advice and Planning Services answers yes to 26 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Advice and Planning Services’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-06), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →