Advice and Planning Services
Registered investment adviser · New York, NY · CRD #20472
Form ADV data as of 2026-09-01Regulatory assets
$37.93 billion
Total accounts
72,503
Employees
1,293
Disclosure events
26
Firm details
- Website: https://www.facebook.com/tiaa/
- Telephone: 212-490-9000
- SEC file number: 801-63550
- Most recent Form ADV filing: 2026-07-06
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 9 disclosure questions answered Yes, covering 26 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a false statement or omission
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- Another regulator denied, suspended, or revoked a registration or restricted activity
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $37.93 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $37.93 billion |
| Discretionary accounts | 72,503 |
| Non-discretionary accounts | 0 |
| Total accounts | 72,503 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 1,293 |
| Employees performing investment advisory functions (including research) | 1,020 |
| Employees who are registered representatives of a broker-dealer | 1,190 |
| Employees registered as investment adviser representatives with a state | 1,099 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 1,089 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $10.64 billion |
| Clients for whom the firm has custody | 25,564 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $27.29 billion |
| Clients for whom a related person has custody | 46,939 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 25,667 | $8.35 billion |
| High net worth individuals | 46,802 | $29.56 billion |
| Charitable organizations | 14 | $6.2 million |
| Corporations or other businesses not listed above | 20 | $10.7 million |