DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Tiaa Kaspick, LLC
Latest filing Jun 29, 2026
First filing on the tape Mar 30, 2012 · 53 filings
SEC status approved since Oct 23, 1986
RAUM
$8.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.3%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
115
16 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$8.7B as of Jun 29, 2026
Mar 30, 2012$4.1B then
HNW client RAUM$0 as of Mar 30, 2022
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Jun 29, 2026
Apr 1, 20131 then
Employees (5.A)115 as of Jun 29, 2026
Apr 1, 2013106 then
Private funds25 as of Mar 30, 2020
Mar 29, 201822 then
RAUM +2.7% over the last fiscal year+6.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $8.7BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 115.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $8.7B, 77 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$8.2B94%
- State and municipal entities$378M4.3%
- Individuals$114M1.3%
- Individual clients
- 15reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 139reported
- Accounts
- 6,140reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.7B for 77 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.99 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
26 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ccap Fund Ge, L.P.no longer reported | Hedge Fund | $595M | 1 | Mar 31, 2017 |
| Ccm Series, LLC: Ccm Series 1no longer reported | Hedge Fund | $481M | 1 | Mar 29, 2012 |
| Ccm Series, LLC: Ccm Series 6no longer reported | Private Equity Fund | $298M | 1 | Mar 29, 2012 |
| Ccm Series, LLC: Ccm Series 4no longer reported | Hedge Fund | $194M | 1 | Mar 29, 2012 |
| Ccap Fund Hfd, L.P.no longer reported | Hedge Fund | $180M | 4 | Mar 31, 2017 |
| Ccm Series, LLC: Ccm Series 8no longer reported | Private Equity Fund | $176M | 1 | Mar 29, 2012 |
| Ccap Fund Hfnd, L.P.no longer reported | Hedge Fund | $139M | 4 | Mar 31, 2017 |
| Ccap Fund 6 - 2018, L.P.no longer reported | Private Equity Fund | $95.1M | 4 | Mar 29, 2019 |
| Ccm Series, LLC: Ccm Series 3no longer reported | Hedge Fund | $94.5M | 1 | Mar 29, 2012 |
| Ccap Fund 8 - 2019, L.P.no longer reported | Private Equity Fund | $86.3M | 5 | Mar 29, 2019 |
| Ccap Fund 6 - 2019, L.P.no longer reported | Private Equity Fund | $74.5M | 5 | Mar 29, 2019 |
| Ccap Fund 8 - 2015, L.P.no longer reported | Private Equity Fund | $72.7M | 3 | Mar 28, 2016 |
| Ccap Fund 6 - 2017, L.P.no longer reported | Private Equity Fund | $52.5M | 3 | Mar 29, 2018 |
| Ccap Fund 6 - 2016, L.P.no longer reported | Private Equity Fund | $52.4M | 2 | Apr 27, 2017 |
| Ccap Fund 8 - 2018, L.P.no longer reported | Private Equity Fund | $52.0M | 4 | Mar 29, 2019 |
| Ccap Fund 6 - 2015, L.P.no longer reported | Private Equity Fund | $52.0M | 3 | Mar 28, 2016 |
| Ccap Fund 8 - 2017, L.P.no longer reported | Private Equity Fund | $35.0M | 3 | Mar 31, 2017 |
| Ccap Fund 8 - 2016, L.P.no longer reported | Private Equity Fund | $30.2M | 3 | Mar 31, 2017 |
| Ccm Series, LLC: Ccm Series 5no longer reported | Hedge Fund | $19.6M | 1 | Mar 29, 2012 |
| Ccap Fund Eip, L.P.no longer reported | Hedge Fund | $3.4M | 3 | Mar 31, 2017 |
| Ccm Series, LLC: Ccm Series 9no longer reported | Other Private Fund | $2.4M | 1 | Mar 29, 2012 |
| Ccm Series, LLC: Ccm Series 7no longer reported | Hedge Fund | $24,874 | 1 | Mar 29, 2012 |
| Ccm Series 2, LLCno longer reported | Hedge Fund | $0 | 0 | Mar 29, 2012 |
| Ccap Fund Pds, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2017 |
| Ccap Fund Mra, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2017 |
| Ccap Fund Fi, L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Ian Celecia · General Counselcontrolsince 03/2023 · owns less than 5%
- Bradley Finkle · Member, Board Of Managerscontrolsince 12/2022 · owns less than 5%
- Patrick Joseph Gerharz · Chief Financial Officercontrolsince 11/2015 · owns less than 5%
- James Derek Heaslip · Managercontrolsince 02/2023 · owns less than 5%
- Jon Richard Immesberger · Member, Board Of Managerscontrolsince 09/2023 · owns less than 5%
- Ali Mohammad Iqbal · Chair, Board Of Managers/Presidentcontrolsince 07/2022 · owns less than 5%
- Sean David Lyons · Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- Himani Trivedi · Member, Board Of Managerscontrolsince 06/2021 · owns less than 5%
- Damon Whelchel · Chief Investment Officercontrolsince 03/2024 · owns less than 5%
Entity owners
- Tiaa-Cref Redwood LLC · Sole Direct Ownerdirect · owns 75% or more
- Teachers Insurance And Annuity Association Of America · Sole Ownerindirect · owns 75% or more of Tiaa-Cref Redwood LLC
- Tiaa Board Of Overseers · Sole Shareholderindirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Redwood Shores, CA10 employees
- Charlotte, NC1 employees
- St Louis, MO1 employees
What changed
consecutive filings, newest first
- Accounts · 6,169 to 6,140Mar 18, 2025 to Mar 26, 2026
- Charity clients · 138 to 139Mar 18, 2025 to Mar 26, 2026
- Individual clients · 17 to 15Mar 18, 2025 to Mar 26, 2026
- Assets in custody · $7.5B to $8.7BMar 18, 2025 to Mar 26, 2026
- Discretionary RAUM · $8.5B to $8.7BMar 18, 2025 to Mar 26, 2026
- Individual RAUM · $110M to $114MMar 18, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $6.9M to $14.2MMar 18, 2025 to Mar 26, 2026
- RAUM · $8.5B to $8.7BMar 18, 2025 to Mar 26, 2026
- Related bank · false to trueMar 18, 2025 to Mar 26, 2026
- Accounts · 6,140 to 6,169Aug 16, 2024 to Mar 18, 2025
- Charity clients · 136 to 138Aug 16, 2024 to Mar 18, 2025
- Individual clients · 20 to 17Aug 16, 2024 to Mar 18, 2025
- Assets in custody · $7.2B to $7.5BAug 16, 2024 to Mar 18, 2025
- Financial planning clients · unset to Aug 16, 2024 to Mar 18, 2025
- Discretionary RAUM · $8.1B to $8.5BAug 16, 2024 to Mar 18, 2025
- Individual RAUM · $188M to $110MAug 16, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $2.4M to $6.9MAug 16, 2024 to Mar 18, 2025
- RAUM · $8.1B to $8.5BAug 16, 2024 to Mar 18, 2025
- Accounts · 6,225 to 6,140Jan 2, 2024 to Mar 26, 2024
- Advisory employees · 17 to 16Jan 2, 2024 to Mar 26, 2024
- Individual clients · 21 to 20Jan 2, 2024 to Mar 26, 2024
- Assets in custody · $6.6B to $7.2BJan 2, 2024 to Mar 26, 2024
- Employees · 110 to 115Jan 2, 2024 to Mar 26, 2024
- Discretionary RAUM · $7.3B to $8.1BJan 2, 2024 to Mar 26, 2024
- Individual RAUM · $168M to $188MJan 2, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $2.6M to $2.4MJan 2, 2024 to Mar 26, 2024
- RAUM · $7.3B to $8.1BJan 2, 2024 to Mar 26, 2024
- Accounts · 6,300 to 6,225Jan 18, 2023 to Mar 31, 2023
- Advisory employees · 15 to 17Jan 18, 2023 to Mar 31, 2023
- Charity clients · 135 to 136Jan 18, 2023 to Mar 31, 2023
- HNW clients · 0.0 to unsetJan 18, 2023 to Mar 31, 2023
- Individual clients · 23 to 21Jan 18, 2023 to Mar 31, 2023
- Assets in custody · $8.3B to $6.6BJan 18, 2023 to Mar 31, 2023
- Other offices · 4 to 3Jan 18, 2023 to Mar 31, 2023
- Discretionary RAUM · $9.0B to $7.3BJan 18, 2023 to Mar 31, 2023
- HNW RAUM · 0.0 to unsetJan 18, 2023 to Mar 31, 2023
- Individual RAUM · $211M to $168MJan 18, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $25.3M to $2.6MJan 18, 2023 to Mar 31, 2023
- RAUM · $9.1B to $7.3BJan 18, 2023 to Mar 31, 2023
- Accounts · 6,215 to 6,300Dec 20, 2021 to Mar 30, 2022
Signals
38 dated events
- Benton Abigail Mason (Chief Investment Officer) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2024-01-02, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Damon Whelchel (Chief Investment Officer) appeared on Schedule A of Tiaa Kaspick, LlcMar 26, 2024 · Control person joined · fact
- Kim Courtney Eastlack (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2023-10-20, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- Yogini Biswas (Manager) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2023-10-20, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- Jon Richard Immesberger (Member, Board Of Managers) appeared on Schedule A of Tiaa Kaspick, LlcOct 20, 2023 · Control person joined · fact
- Liisa Wendy Harrington (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2023-08-08, absent 2023-10-20)Oct 20, 2023 · Control person left · inference
- Robert Josh Greenwald (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2023-03-31, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- Ian Celecia (Interim Counsel) appeared on Schedule A of Tiaa Kaspick, LlcMar 31, 2023 · Control person joined · fact
- James Derek Heaslip (Manager) appeared on Schedule A of Tiaa Kaspick, LlcMar 31, 2023 · Control person joined · fact
- Yogini Biswas (Manager) appeared on Schedule A of Tiaa Kaspick, LlcMar 31, 2023 · Control person joined · fact
- Thayer Andrew King (Counsel) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2023-01-18, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Adam Elmore (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2023-01-18, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Scott Jeffrey Kaspick (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2022-07-08, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Edward Douglas Chittenden (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2022-07-08, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Bruce Michael Kahn (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2022-07-08, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Adam Elmore (Member, Board Of Managers) appeared on Schedule A of Tiaa Kaspick, LlcJan 18, 2023 · Control person joined · fact
- Robert Josh Greenwald (Member, Board Of Managers) appeared on Schedule A of Tiaa Kaspick, LlcJan 18, 2023 · Control person joined · fact
- Bradley Finkle (Member, Board Of Managers) appeared on Schedule A of Tiaa Kaspick, LlcJan 18, 2023 · Control person joined · fact
- Liisa Wendy Harrington (Member, Board Of Managers) appeared on Schedule A of Tiaa Kaspick, LlcJan 18, 2023 · Control person joined · fact
- J Kevin O'Leary (Chair, Board Of Managers / Chief Executive Officer/ President) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2022-03-30, absent 2022-07-08)Jul 8, 2022 · Control person left · inference
- Joseph Darrell Fernandes (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2022-03-30, absent 2022-07-08)Jul 8, 2022 · Control person left · inference
- Ali Mohammad Iqbal (Chair, Board Of Managers/President) appeared on Schedule A of Tiaa Kaspick, LlcJul 8, 2022 · Control person joined · fact
- Esterly Sarah Devany (President) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2021-07-02, absent 2021-12-20)Dec 20, 2021 · Control person left · inference
- Joseph Darrell Fernandes (Member, Board Of Managers) appeared on Schedule A of Tiaa Kaspick, LlcJul 2, 2021 · Control person joined · fact
- Himani Trivedi (Member, Board Of Managers) appeared on Schedule A of Tiaa Kaspick, LlcJul 2, 2021 · Control person joined · fact
- Tiaa Kaspick, Llc reported RAUM $7.6B, down 34% from $11.6B (2020-11-13 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Thayer Andrew King (Counsel) appeared on Schedule A of Tiaa Kaspick, LlcMar 31, 2021 · Control person joined · fact
- Ward Carol Deckbar (Member, Board Of Managers) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2020-11-13, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Scott Thomas (General Counsel) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2020-11-13, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Nmn Vijay Tunikipati (Chief Investment Risk Officer) no longer on Schedule A of Tiaa Kaspick, Llc (listed 2020-06-25, absent 2020-08-17)Aug 17, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Tiaa Kaspick, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- KASPICK.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 650-585-4100reportedpublic record, Form ADV, Jun 29, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026