Tiaa Kaspick, LLC

Registered investment adviser · Boston, MA · CRD #104554

Form ADV data as of 2026-09-01

Regulatory assets

$8.74 billion

Total accounts

6,140

Employees

115

Disclosure events

Firm details

Website: http://www.kaspick.com
Telephone: 650-585-4100
SEC file number: 801-28179
Most recent Form ADV filing: 2026-06-29
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 2 disclosure questions answered Yes, covering 5 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.

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)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$8.72 billion
Non-discretionary regulatory assets under management	$14.2 million
Total regulatory assets under management	$8.74 billion
Discretionary accounts	6,135
Non-discretionary accounts	5
Total accounts	6,140
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	115
Employees performing investment advisory functions (including research)	16
Employees who are registered representatives of a broker-dealer	1
Employees registered as investment adviser representatives with a state	1
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	1

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	$8.74 billion
Clients for whom the firm has custody	77
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	$1.16 billion
Clients for whom a related person has custody	79
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	3

How the firm is compensated

A percentage of assets under managementHourly charges

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsOther

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorCommodity pool operator or commodity trading advisorBanking or thrift institutionInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

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 brokers or dealers to clients
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	15	$113.6 million
Charitable organizations	139	$8.25 billion
State or municipal government entities (including government pension plans)	0	$378.5 million