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-Cref Tuition Financing, Inc.
Latest filing Jun 16, 2026
First filing on the tape Dec 21, 2011 · 43 filings
SEC status approved since Sep 10, 1999
RAUM
$71B
reported, Item 5.F
Discretionary
0.0%
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
65
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$71B as of Jun 16, 2026
Mar 21, 2012$11B then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Jun 16, 2026
Mar 21, 20120 then
Employees (5.A)65 as of Jun 16, 2026
Mar 28, 201353 then
Private funds: no history
RAUM +16% over the last fiscal year+23% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jun 16, 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
- RAUM per advisor
- $12BderivedRAUM 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
- $7.8BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$71B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=true bd_reps=40.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Dennis Jeffrey Carlin · Directorcontrolsince 01/2021 · owns less than 5%
- Gordon Bradley Finkle · Directorcontrolsince 03/2023 · owns less than 5%
- Martin Sean Flynn · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- Marie Angela Kahrmann · Directorcontrolsince 01/2021 · owns less than 5%
- Shields Christopher Lynch · President And Directorcontrolsince 10/2016 · owns less than 5%
- Spencer Craig Parkin · Directorcontrolsince 01/2021 · owns less than 5%
Entity owners
- Teachers Insurance And Annuity Association Of America · Shareholderdirect · owns 75% or more
- Tiaa Board Of Governors · Shareholderindirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
Related persons
Schedule D 7.A
- Churchill Asset Management LLCinvestment adviserpooled vehicle sponsornRAUM $56B
- Churchill Dlc Advisor LLCinvestment advisernRAUM $2.1B
- Nuveen Alternatives Advisors LLCinvestment adviserpooled vehicle sponsornRAUM $142B
- Nuveen Asset Management, LLCinvestment adviserbankpooled vehicle sponsorLP sponsornRAUM $280B
- Nuveen Fund Advisors, LLCinvestment adviserbanknRAUM $186B
- Nuveen Investment Management International Limitedinvestment advisern
- Nuveen Management Aifm Limitedinvestment advisern
- Nuveen Securities, LLCbroker-dealern
- Teachers Advisors, LLCinvestment adviserpooled vehicle sponsornRAUM $436B
- Teachers Insurance And Annuity Association Of Americareal estatey
- Tiaa Kaspick, LLCinvestment advisernRAUM $8.7B
- Tiaa Trust, N.An
- Advice And Planning Servicesbroker-dealerinvestment advisernRAUM $38B
- Tiaa-Cref Insurance Agency, LLCreal estaten
- Tiaa-Cref Investment Management LLCinvestment advisernRAUM $292B
- Tiaa-Cref Life Insurance Companyreal estaten
Advisers that list Tiaa-Cref Tuition Financing, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC2 employees
- New York, NY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 16, 2026discretionary share of RAUM of 0% against a peer median of 99% (90 comparable advisers, 0.0th percentile, 33.3 robust deviations)peers: institutional managers, $20B and over (90) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 9Nov 20, 2025 to Mar 25, 2026
- Advisory employees · 3 to 5Nov 20, 2025 to Mar 25, 2026
- BD registered reps · 37 to 40Nov 20, 2025 to Mar 25, 2026
- Employees · 54 to 65Nov 20, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $61B to $71BNov 20, 2025 to Mar 25, 2026
- RAUM · $61B to $71BNov 20, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0May 7, 2025 to Nov 20, 2025
- Accounts · 7 to 8Aug 16, 2024 to Apr 28, 2025
- BD registered reps · 29 to 37Aug 16, 2024 to Apr 28, 2025
- Employees · 46 to 54Aug 16, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $43B to $61BAug 16, 2024 to Apr 28, 2025
- RAUM · $43B to $61BAug 16, 2024 to Apr 28, 2025
- Employees · 47 to 46Mar 30, 2023 to Mar 27, 2024
- State-registered IARs · 7 to 6Mar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $38B to $43BMar 30, 2023 to Mar 27, 2024
- RAUM · $38B to $43BMar 30, 2023 to Mar 27, 2024
- Employees · 41 to 47May 20, 2022 to Mar 30, 2023
- Insurance-licensed employees · 3 to 0May 20, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 7May 20, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $41B to $38BMay 20, 2022 to Mar 30, 2023
- RAUM · $41B to $38BMay 20, 2022 to Mar 30, 2023
- BD registered reps · 30 to 29Feb 1, 2022 to Mar 31, 2022
- Employees · 40 to 41Feb 1, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $35B to $41BFeb 1, 2022 to Mar 31, 2022
- RAUM · $35B to $41BFeb 1, 2022 to Mar 31, 2022
- BD registered reps · 42 to 30Jan 29, 2021 to Mar 31, 2021
- Employees · 53 to 40Jan 29, 2021 to Mar 31, 2021
- Non-discretionary RAUM · $29B to $35BJan 29, 2021 to Mar 31, 2021
- RAUM · $29B to $35BJan 29, 2021 to Mar 31, 2021
- Accounts · 10 to 7Feb 20, 2020 to Mar 30, 2020
- BD registered reps · 45 to 42Feb 20, 2020 to Mar 30, 2020
- Employees · 59 to 53Feb 20, 2020 to Mar 30, 2020
- Financial planning clients · unset to 0Feb 20, 2020 to Mar 30, 2020
- Non-discretionary RAUM · $25B to $29BFeb 20, 2020 to Mar 30, 2020
- RAUM · $25B to $29BFeb 20, 2020 to Mar 30, 2020
- Advisory employees · 4 to 3Jun 13, 2018 to Mar 29, 2019
- BD registered reps · 48 to 45Jun 13, 2018 to Mar 29, 2019
- Employees · 60 to 59Jun 13, 2018 to Mar 29, 2019
- Insurance-licensed employees · 4 to 3Jun 13, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $27B to $25BJun 13, 2018 to Mar 29, 2019
Signals
16 dated events
- Tiaa-Cref Tuition Financing, Inc. reported RAUM $60.8B, up 41% from $43.1B (2024-08-16 to 2025-04-28)Apr 28, 2025 · RAUM change · derived
- Ali Mohammad Iqbal (Director) no longer on Schedule A of Tiaa-Cref Tuition Financing, Inc. (listed 2022-05-20, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Gordon Bradley Finkle (Director) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Mar 30, 2023 · Control person joined · fact
- Gunnar William Griesser (Director) no longer on Schedule A of Tiaa-Cref Tuition Financing, Inc. (listed 2022-03-31, absent 2022-05-20)May 20, 2022 · Control person left · inference
- Ali Mohammad Iqbal (Director) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Mar 31, 2022 · Control person joined · fact
- Gunnar William Griesser (Director) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Jan 26, 2021 · Control person joined · fact
- Edward Timothy Lane (Director) no longer on Schedule A of Tiaa-Cref Tuition Financing, Inc. (listed 2020-03-31, absent 2021-01-26)Jan 26, 2021 · Control person left · inference
- Joseph Michael Noone (Director) no longer on Schedule A of Tiaa-Cref Tuition Financing, Inc. (listed 2020-03-31, absent 2021-01-26)Jan 26, 2021 · Control person left · inference
- Spencer Craig Parkin (Director) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Jan 26, 2021 · Control person joined · fact
- Dennis Jeffrey Carlin (Director) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Jan 26, 2021 · Control person joined · fact
- Marie Angela Kahrmann (Director) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Jan 26, 2021 · Control person joined · fact
- Henry Keith Rauschenbach (Director) no longer on Schedule A of Tiaa-Cref Tuition Financing, Inc. (listed 2020-02-20, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Martin Sean Flynn (Chief Compliance Officer) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Jan 21, 2020 · Control person joined · fact
- Kay Lisa Lynn (Chief Compliance Officer) no longer on Schedule A of Tiaa-Cref Tuition Financing, Inc. (listed 2019-08-26, absent 2020-01-21)Jan 21, 2020 · Control person left · inference
- Kay Lisa Lynn (Chief Compliance Officer) appeared on Schedule A of Tiaa-Cref Tuition Financing, Inc.Jun 21, 2019 · Control person joined · fact
- Mark John Obeck (Chief Compliance Officer) no longer on Schedule A of Tiaa-Cref Tuition Financing, Inc. (listed 2019-03-29, absent 2019-06-21)Jun 21, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- tiaa.org/public/invest/financial-products/529-college-savingreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-490-9000reportedpublic record, Form ADV, Jun 16, 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