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.

Former SEC-registered adviser

Teachers Advisors, LLC

Former SEC-registered adviserNew York, New YorkCRD 107157SEC 801-46887websiteIAPD
Latest filing Mar 28, 2026
First filing on the tape Mar 30, 2012 · 57 filings
SEC status approved since Jul 21, 1994
RAUM
$436B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
383
296 advisory (5.B.1)
Offices
28
beyond the principal office
Private funds
3
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$436B as of Mar 28, 2026
Mar 30, 2012$46B then
HNW client RAUM$0 as of Mar 28, 2024
Mar 31, 2023$0 then
State-registered IARs (5.B.3)30 as of Mar 28, 2026
Apr 1, 20138 then
Employees (5.A)383 as of Mar 28, 2026
Apr 1, 20131,250 then
Private funds3 as of Mar 28, 2026
Mar 30, 20125 then
RAUM +8.3% over the last fiscal year+8.5% a year over threeIARs 30 to 30offices 19 to 28
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
RAUM per advisor
$15BderivedRAUM 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
$3.3BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
12.8derivedItem 5.A over advisors
Advisors per office
1.0derived29 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$13.9M, 1 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$278B64%
  • Insurance companies$149B34%
  • Pooled investment vehicles$4.1B0.9%
  • Charitable organizations$2.4B0.5%
  • Corporations and businesses$1.3B0.3%
  • Pension and profit-sharing plans$338M0.1%
  • State and municipal entities$268M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
133reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$13.9M for 1 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Tiaa Clo II Ltd (Clo II)no longer reportedSecuritized Asset Fund$450M2Mar 31, 2017
      Tiaa Clo IV LtdSecuritized Asset Fund$429M1Mar 26, 2019
      Tiaa Clo I Ltd.Securitized Asset Fund$409M1Mar 28, 2016
      Tiaa Clo III LtdSecuritized Asset Fund$375M2Mar 29, 2018
      Tiaa-Cref Asset Management Commingled Funds Trust I - Emerging Markets Debt Fundno longer reportedOther Private Fund$139M2Mar 30, 2012
      Tiaa Clo V Ltdno longer reportedSecuritized Asset Fund$31.2M1Mar 30, 2020
      Tiaa Global Equity Income, LLCno longer reportedOther Private Fund$8.3M1Mar 28, 2014
      Active Extension Fund I, LLCno longer reportedHedge Fund$1.2M1Mar 30, 2012
      Active Extension Fund III, LLCno longer reportedHedge Fund$45,5301Mar 30, 2012
      Active Extension Fund V Analyst Market Neutral, LLCno longer reportedHedge Fund$10,4001Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Redman Stuart Brunet · Managing Director, Chief Compliance Officercontrol
        since 12/2016 · owns less than 5%
      • Thomas William Huffman · Presidentcontrol
        since 07/2019 · owns less than 5%
      • Ann Saira Malik · Executive Vice Presidentcontrol
        since 07/2024 · owns less than 5%
      • Michael John Mccann · Associate General Counsel, Assistant Secretary, Managing Directorcontrol
        since 11/2011 · owns less than 5%
      • Eileen Megan Sendlak · Controller And Managing Directorcontrol
        since 11/2020 · owns less than 5%
      • Dawn Cinda Whitten · Officer - Senior Managing Directorcontrol
        since 02/2023 · owns less than 5%
      Entity owners
      • Nuveen Finance, LLC (Fka Tiaa Asset Management Finance Company, LLC) · Sole Member And Direct Owner
        direct · owns 75% or more
      • Nuveen, LLC (Fka Tiaa Global Asset Management LLC As Of 1/13/2017) · Shareholder
        indirect · owns 75% or more of Nuveen Finance, LLC (Fka Tiaa Asset Management Finance Company, LLC)
      • Teachers Insurance And Annuity Association Of America · Shareholder
        indirect · owns 75% or more of Nuveen, LLC (Fka Tiaa Global Asset Management LLC As Of 1/13/2017)
      • Tiaa Board Of Governors · Shareholder
        indirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
      Related persons
      Schedule D 7.A
      Advisers that list Teachers Advisors, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL60 employees
      • Minneapolis, MN50 employees
      • Los Angeles, CA33 employees
      • Charlotte, NC30 employees
      • San Francisco, CA25 employees
      • San Francisco, CA25 employees
      • London, United Kingdom3 employees
      • Clayton, MO3 employees
      • Portland, OR2 employees
      • Newport Beach, CA2 employees
      • Tokyo, Japan1 employees
      • Princeton, NJ1 employees
      • Aia Central, Hong Kong1 employees
      • Singapore, Singapore1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 299 to 296
        May 6, 2025 to Mar 28, 2026
      • BD registered reps · 45 to 46
        May 6, 2025 to Mar 28, 2026
      • Corporate clients · 5.0 to unset
        May 6, 2025 to Mar 28, 2026
      • Pooled vehicle clients · 12 to 11
        May 6, 2025 to Mar 28, 2026
      • Assets in custody · $5.7M to $13.9M
        May 6, 2025 to Mar 28, 2026
      • Employees · 374 to 383
        May 6, 2025 to Mar 28, 2026
      • Other offices · 19 to 28
        May 6, 2025 to Mar 28, 2026
      • Discretionary RAUM · $403B to $436B
        May 6, 2025 to Mar 28, 2026
      • Pension RAUM · $281M to $338M
        May 6, 2025 to Mar 28, 2026
      • Pooled vehicle RAUM · $4.2B to $4.1B
        May 6, 2025 to Mar 28, 2026
      • RAUM · $403B to $436B
        May 6, 2025 to Mar 28, 2026
      • Wrap assets (manager) · 3020018.0 to unset
        May 6, 2025 to Mar 28, 2026
      • Wrap assets (sponsor) · 0.0 to unset
        May 6, 2025 to Mar 28, 2026
      • Financial planning clients · unset to
        Mar 28, 2025 to May 6, 2025
      • Accounts · 139 to 133
        Jul 31, 2024 to Mar 28, 2025
      • Advisory employees · 321 to 299
        Jul 31, 2024 to Mar 28, 2025
      • BD registered reps · 46 to 45
        Jul 31, 2024 to Mar 28, 2025
      • Charity clients · 9 to 6
        Jul 31, 2024 to Mar 28, 2025
      • HNW clients · 0.0 to unset
        Jul 31, 2024 to Mar 28, 2025
      • Individual clients · 0.0 to unset
        Jul 31, 2024 to Mar 28, 2025
      • Pension plan clients · 3.0 to unset
        Jul 31, 2024 to Mar 28, 2025
      • Assets in custody · $8.1M to $5.7M
        Jul 31, 2024 to Mar 28, 2025
      • Employees · 398 to 374
        Jul 31, 2024 to Mar 28, 2025
      • State-registered IARs · 29 to 30
        Jul 31, 2024 to Mar 28, 2025
      • Other offices · 14 to 19
        Jul 31, 2024 to Mar 28, 2025
      • Discretionary RAUM · $369B to $403B
        Jul 31, 2024 to Mar 28, 2025
      • HNW RAUM · 0.0 to unset
        Jul 31, 2024 to Mar 28, 2025
      • Non-discretionary RAUM · $14.0M to $0
        Jul 31, 2024 to Mar 28, 2025
      • Pension RAUM · $356M to $281M
        Jul 31, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $4.6B to $4.2B
        Jul 31, 2024 to Mar 28, 2025
      • RAUM · $369B to $403B
        Jul 31, 2024 to Mar 28, 2025
      • Wrap assets (manager) · $2.6M to $3.0M
        Jul 31, 2024 to Mar 28, 2025
      • Accounts · 138 to 139
        Mar 31, 2023 to Mar 28, 2024
      • Advisory employees · 326 to 321
        Mar 31, 2023 to Mar 28, 2024
      • BD registered reps · 51 to 46
        Mar 31, 2023 to Mar 28, 2024
      • Charity clients · 6 to 9
        Mar 31, 2023 to Mar 28, 2024
      • Individual clients · 1 to 0
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle clients · 15 to 12
        Mar 31, 2023 to Mar 28, 2024
      • Assets in custody · $7.1M to $8.1M
        Mar 31, 2023 to Mar 28, 2024
      • Employees · 407 to 398
        Mar 31, 2023 to Mar 28, 2024
      Signals
      24 dated events
      • Teachers Advisors, Llc no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $436.3B)
        Sep 1, 2026 · Left the SEC roster · derived
      • Teachers Advisors, Llc reported 28 offices beyond its principal office, up from 19 (2025-05-06 to 2026-03-28)
        Mar 28, 2026 · Office count change · derived
      • Teachers Advisors, Llc reported 19 offices beyond its principal office, up from 14 (2024-07-31 to 2025-03-28)
        Mar 28, 2025 · Office count change · derived
      • Ann Saira Malik (Executive Vice President) appeared on Schedule A of Teachers Advisors, Llc
        Jul 31, 2024 · Control person joined · fact
      • Eileen Megan Sendlak (Controller And Managing Director) appeared on Schedule A of Teachers Advisors, Llc
        Mar 28, 2024 · Control person joined · fact
      • S Oluseun Salami (Senior Vice President, Chief Financial Officer) no longer on Schedule A of Teachers Advisors, Llc (listed 2023-03-31, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Teachers Advisors, Llc reported 32 state-registered advisory representatives, up from 0 (2022-12-06 to 2023-03-31)
        Mar 31, 2023 · Advisor headcount change · derived
      • Michael John Mccann (Associate General Counsel, Assistant Secretary, Managing Director) appeared on Schedule A of Teachers Advisors, Llc
        Mar 31, 2023 · Control person joined · fact
      • Geoffry Ronald Stutes (Head Of Global Investment Operations (Interim)) no longer on Schedule A of Teachers Advisors, Llc (listed 2022-08-08, absent 2022-11-23)
        Nov 23, 2022 · Control person left · inference
      • Dawn Cinda Whitten (Smd - Head Of Global Investment Operations) appeared on Schedule A of Teachers Advisors, Llc
        Nov 23, 2022 · Control person joined · fact
      • Byers Sheryl Craun (Senior Managing Director, Head Global Investments Operations) no longer on Schedule A of Teachers Advisors, Llc (listed 2022-07-22, absent 2022-08-08)
        Aug 8, 2022 · Control person left · inference
      • Geoffry Ronald Stutes (Head Of Global Investment Operations (Interim)) appeared on Schedule A of Teachers Advisors, Llc
        Aug 8, 2022 · Control person joined · fact
      • Oluseun Salami (Senior Vice President, Chief Financial Officer) appeared on Schedule A of Teachers Advisors, Llc
        Mar 31, 2021 · Control person joined · fact
      • Eugene Glenn Brightman (Evp,Chief Financial Officer) no longer on Schedule A of Teachers Advisors, Llc (listed 2020-11-09, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Teachers Advisors, Llc reported RAUM $394.6B, up 33% from $295.9B (2019-05-16 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Byers Sheryl Craun (Senior Managing Director, Head Global Investments Operations) appeared on Schedule A of Teachers Advisors, Llc
        Mar 30, 2020 · Control person joined · fact
      • Michael John Mccann (Managing Director, Associate General Counsel And Assistant Secretary) no longer on Schedule A of Teachers Advisors, Llc (listed 2019-05-16, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Hylton Holly Miller (Senior Managing Director, Head Global Investments Operations) no longer on Schedule A of Teachers Advisors, Llc (listed 2019-05-16, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Michael Thomas Franks (Senior Managing Director, Cio, Tiaa Investments) no longer on Schedule A of Teachers Advisors, Llc (listed 2018-08-28, absent 2019-03-26)
        Mar 26, 2019 · Control person left · inference
      • Davenport Elizabeth Black (Senior Managing Director, Head Of Taxable Fixed Income) no longer on Schedule A of Teachers Advisors, Llc (listed 2018-08-28, absent 2019-03-26)
        Mar 26, 2019 · Control person left · inference
      • Gordon Bradley Finkle (Senior Managing Director, President, Tiaa Public Investments) no longer on Schedule A of Teachers Advisors, Llc (listed 2018-08-28, absent 2019-03-26)
        Mar 26, 2019 · Control person left · inference
      • T William Huffman (Senior Managing Director, Head Of Nuveen Equities And Fixed Income) appeared on Schedule A of Teachers Advisors, Llc
        Mar 26, 2019 · Control person joined · fact
      • Teachers Advisors, Llc reported RAUM $303.5B, up 113% from $142.2B (2018-05-17 to 2018-08-28)
        Aug 28, 2018 · RAUM change · derived
      • Teachers Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 20, 2016 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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