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
Cerity Partners Retirement Plan Consultants
Legal name Cerity Partners Retirement Plan Advisors LLC
Latest filing Jul 22, 2026
First filing on the tape May 15, 2012 · 48 filings
SEC status approved since May 29, 2012
RAUM
$40B
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
82
registered through the firm on IAPD
RAUM per advisor
$491M
derived; firm RAUM over IAPD count
Employees
193
153 advisory (5.B.1)
Offices
33
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$40B as of Jul 22, 2026
Apr 1, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)75 as of Jul 22, 2026
Apr 1, 201312 then
Employees (5.A)193 as of Jul 22, 2026
Apr 1, 201355 then
Private funds: no history
RAUM +112% over the last fiscal year+46% a year over threeIARs 68 to 75offices 19 to 33
Practice profile
derived from the filing of Jul 22, 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
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $491MderivedRAUM 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
- $44.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 88%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 2.4derived34 offices incl. principal (1.F.5)
- RAUM growth, one year
- +112%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$32B79%
- Corporations and businesses$4.8B12%
- Charitable organizations$3.4B8.4%
- State and municipal entities$134M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 821reported
- Charitable clients
- 20reported
- Accounts
- 914reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.88 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Paul Anthony Sommerstad | New York, Ny | Apr 18, 2019 | 13 y | 1 |
| Neal Dryton Smith | New York, Ny | Jul 2, 2019 | 25 y | 3 |
| Patrick Joseph Fischbach | Chicago, Il | Jul 2, 2019 | 14 y | 0 |
| Ty Edward Parrish | New York, Ny | Jul 2, 2019 | 23 y | 1 |
| Jeffrey Dion KnightCertified Financial Planner | Chicago, Il | Nov 13, 2024 | 10 y | 2 |
| Miguel Angel De La Luz | New York, Ny | Nov 18, 2024 | 11 y | 0 |
| Christopher Francis ArotinCertified Financial Planner | New York, Ny | Jan 10, 2025 | 16 y | 3 |
| Gregory William Del ColomboCertified Financial Planner, Chartered Financial Consultant | Philadelphia, Pa | Mar 21, 2025 | 13 y | 0 |
| William Stanley | New York, Ny | Feb 25, 2026 | 10 y | 2 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 1.2% of current headcount3 left over 36 months
Left, latest
- Hunter Paul Haley to Ameriprise Financial Services, LLCMay 15, 2026 · Other
- Scott Michael Lepa to Prasad Wealth PartnersFeb 24, 2025 · Other
- Kate Elisabeth Kittinger to Pension Architects Advisory Group LLCNov 20, 2024 · Other
- Carmela Lee Elco to Trinity Investment Advisors, LLCFeb 4, 2021 · Other
- Samuel Victor Garcia to Pension Architects Advisory Group LLCSep 1, 2015 · Other
Joined, latest
- Michael John Greenen from Edge Financial Advisors, LLCMar 5, 2026 · Other
- William Stanley from Buck Wealth Strategies, LLCFeb 25, 2026 · Other
- Raoul Marie Celerier from Austin Private Wealth, LLCJan 7, 2026 · Other
- Chad Frederick Wing from Petrichor Asset Management LLCJun 10, 2025 · Other
- Lisa Ann Neff from West Coast Financial, LLCApr 1, 2025 · Other
- Patrick Dane Corrigan from West Coast Financial, LLCApr 1, 2025 · Other
- Christopher Francis Arotin from Pension Architects Advisory Group LLCJan 10, 2025 · Other
- Neal Dryton Smith from Voya Financial Partners, LLCJul 2, 2019 · Other
- Ty Edward Parrish from Blue Prairie Group,LLCJul 2, 2019 · Other
- Constantine Charles Mulligan from Blue Prairie Group,LLCApr 24, 2019 · Other
- Paul Anthony Sommerstad from Blue Prairie Group,LLCApr 18, 2019 · Other
- Carmela Lee Elco from Blue Prairie Group,LLCApr 10, 2019 · Other
- Melanie R Ross from Ernst & Young Investment Advisers LlpJan 24, 2019 · Other
- Kate Elisabeth Kittinger from Pension Architects Advisory Group, LLCMar 31, 2014 · Other
- Samuel Victor Garcia from Pension Architects Advisory Group, LLCFeb 13, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Blue Prairie Group,LLCApr 8, 2019 · Chicago, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Kevin Hilden · Chief Operating Officercontrolsince 05/2018 · owns less than 5%
- Patrick Kurt Miscinski · Presidentcontrolsince 04/2012 · owns less than 5%
- Isom Arthur Prostick · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Lawrence Neil Quinlan · Director Of Operationscontrolsince 04/2023 · owns less than 5%
- Joseph Robert Seco · General Counselcontrolsince 04/2012 · owns less than 5%
- Chitranjan Suketu Shah · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- Patrick Kurt Miscinski · Managercontrolsince 11/2017 · owns F of Cerity Partners Eoe LLC
Entity owners
- Cerity Partners LLC · Managerdirect · owns 75% or more
- Cerity Partners Eoe LLC · Memberindirect · owns 25% to 50% of Cp Holdings I LLC
- Cerity Partners Equity Holding LLC · Memberindirect · owns 75% or more of Cerity Partners LLC
- Cp Holdings I LLC · Memberindirect · owns 75% or more of Cp-Acp LLC
- Cp Intermediate I LLC · Memberindirect · owns 75% or more of Cp Intermediate II LLC
- Cp Intermediate II LLC · Memberindirect · owns 75% or more of Cp Merger I LLC
- Cp Merger I LLC · Memberindirect · owns 75% or more of Cp Merger II LLC
- Cp Merger II LLC · Memberindirect · owns 75% or more of Cerity Partners Equity Holding LLC
- Cp-Acp LLC · Memberindirect · owns 75% or more of Cp-Mcm LLC
- Cp-Mcm LLC · Memberindirect · owns 75% or more of Cp-Rts LLC
- Cp-Rts LLC · Memberindirect · owns 75% or more of Cp Intermediate I LLC
- Genstar Capital Partners X, L.P. · Memberindirect · owns 25% to 50% of Cp Holdings I LLC
- Genstar Capital X, L.P. · General Partnerindirect · owns F of Genstar Capital Partners X, L.P.
- Genstar X Gp LLC · General Partnerindirect · owns F of Genstar Capital X, L.P.
Related persons
Schedule D 7.A
- Argi Alternative Investment Management Company, LLCpooled vehicle sponsorn
- Baja Wealth Advisors LLCinvestment advisernRAUM $72.6M
- Cerity Partners LLCinvestment adviserpooled vehicle sponsorLP sponsoryRAUM $162B
- Cerity Partners Ocio LLCinvestment advisernRAUM $21B
- Cp Risk Management Services LLCreal estaten
- Pmof Holdings LLCpooled vehicle sponsorn
- Sage Advisors, LLCinvestment adviserbankpooled vehicle sponsornRAUM $366M
Advisers that list Cerity Partners Retirement Plan Consultants as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 82 | 14 | 1 | ||
| Louisville, Ky | 12 | 1 | 0 | ||
| Chicago, Il | 8 | 0 | 0 | ||
| Norfolk, Va | 7 | 0 | 0 | ||
| Cleveland, Oh | 4 | 0 | 0 | ||
| Wheaton, Il | 3 | 3 | 0 | ||
| Arlington, Tx | 3 | 0 | 0 | ||
| Denver, Co | 3 | 0 | 0 | ||
| Los Angeles, Ca | 3 | 1 | 0 | ||
| Mill Valley, Ca | 3 | 0 | 0 | ||
| San Francisco, Ca | 3 | 0 | 0 | ||
| Santa Barbara, Ca | 3 | 0 | 0 | ||
| Albany, Ny | 3 | 3 | 0 | ||
| Redwood City, Ca | 2 | 0 | 0 | ||
| San Diego, Ca | 2 | 0 | 0 | ||
| Westfield, Nj | 2 | 0 | 0 | ||
| Houston, Tx | 2 | 0 | 0 | ||
| Austin, Tx | 2 | 2 | 0 | ||
| Raleigh, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Louisville, KY12 employees
- Chicago, IL10 employees
- Norfolk, VA7 employees
- San Francisco, CA4 employees
- Mill Valley, CA3 employees
- Redwood City, CA3 employees
- Westfield, NJ2 employees
- Fort Worth, TX2 employees
- Houston, TX2 employees
- Los Angeles, CA2 employees
- Los Altos, CA1 employees
- Jacksonville, FL1 employees
- Pasadena, CA1 employees
- Greenwood Village, CO1 employees
- Reston, VA1 employees
- Cleveland, OH1 employees
- Boca Raton, FL1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 21, 2026discretionary share of RAUM moved from 22.0% to 42.0% between the annual amendments of 2025-03-31 and 2026-04-21peers: institutional managers, $20B and over (90)
- employee count surgeChange between filings · filing Apr 21, 2026employees (Item 5.A) moved from 87.0 to 193.0 (+122.0%) between the annual amendments of 2025-03-31 and 2026-04-21; the peer median change was +2.0% (79 comparable advisers, 99.0th percentile of changes)peers: institutional managers, $20B and over (79) · 99% percentile
- office count surgeChange between filings · filing Apr 21, 2026offices other than the principal office (Item 1.F.5) moved from 19.0 to 33.0 (+74.0%) between the annual amendments of 2025-03-31 and 2026-04-21; the peer median change was 0.0% (38 comparable advisers, 92.0th percentile of changes)peers: institutional managers, $20B and over (38) · 92% percentile
- RAUM up 50 %Change between filings · filing Apr 21, 2026RAUM (Item 5.F) moved from $18,953,321,052 to $40,253,232,272 (+112.0%) between the annual amendments of 2025-03-31 and 2026-04-21; the peer median change was +11.0% (83 comparable advisers, 100.0th percentile of changes)peers: institutional managers, $20B and over (83) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 792 to 914Mar 31, 2026 to Apr 21, 2026
- Advisory employees · 75 to 153Mar 31, 2026 to Apr 21, 2026
- Advisory activities · 2 to 4Mar 31, 2026 to Apr 21, 2026
- Charity clients · unset to 20.0Mar 31, 2026 to Apr 21, 2026
- Corporate clients · unset to 5.0Mar 31, 2026 to Apr 21, 2026
- Pension plan clients · 789 to 821Mar 31, 2026 to Apr 21, 2026
- Employees · 110 to 193Mar 31, 2026 to Apr 21, 2026
- Other offices · 29 to 33Mar 31, 2026 to Apr 21, 2026
- Discretionary RAUM · $6.7B to $17BMar 31, 2026 to Apr 21, 2026
- Non-discretionary RAUM · $14B to $23BMar 31, 2026 to Apr 21, 2026
- Pension RAUM · $21B to $32BMar 31, 2026 to Apr 21, 2026
- RAUM · $21B to $40BMar 31, 2026 to Apr 21, 2026
- Accounts · 622 to 792Feb 25, 2026 to Mar 31, 2026
- Advisory employees · 68 to 75Feb 25, 2026 to Mar 31, 2026
- Pension plan clients · 619 to 789Feb 25, 2026 to Mar 31, 2026
- Employees · 87 to 110Feb 25, 2026 to Mar 31, 2026
- Insurance-licensed employees · 55 to 66Feb 25, 2026 to Mar 31, 2026
- State-registered IARs · 68 to 75Feb 25, 2026 to Mar 31, 2026
- Other offices · 21 to 29Feb 25, 2026 to Mar 31, 2026
- Discretionary RAUM · $4.1B to $6.7BFeb 25, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $15B to $14BFeb 25, 2026 to Mar 31, 2026
- Pension RAUM · $19B to $21BFeb 25, 2026 to Mar 31, 2026
- RAUM · $19B to $21BFeb 25, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0May 27, 2025 to Oct 31, 2025
- Other offices · 19 to 21May 27, 2025 to Oct 31, 2025
- Accounts · 601 to 622Aug 15, 2024 to Mar 31, 2025
- Advisory employees · 53 to 68Aug 15, 2024 to Mar 31, 2025
- Business name · CERITY PARTNERS RETIREMENT PLAN ADVISORS to CERITY PARTNERS RETIREMENT PLAN CONSULTANTSAug 15, 2024 to Mar 31, 2025
- Pension plan clients · 599 to 619Aug 15, 2024 to Mar 31, 2025
- Employees · 69 to 87Aug 15, 2024 to Mar 31, 2025
- Insurance-licensed employees · 42 to 55Aug 15, 2024 to Mar 31, 2025
- State-registered IARs · 53 to 68Aug 15, 2024 to Mar 31, 2025
- Other offices · 17 to 19Aug 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.8B to $4.1BAug 15, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $13B to $15BAug 15, 2024 to Mar 31, 2025
- Pension RAUM · $16B to $19BAug 15, 2024 to Mar 31, 2025
- RAUM · $16B to $19BAug 15, 2024 to Mar 31, 2025
- Related broker-dealer · false to trueAug 15, 2024 to Mar 31, 2025
- Related insurance company · false to trueAug 15, 2024 to Mar 31, 2025
- Accounts · 336 to 601Jul 5, 2023 to Mar 28, 2024
Signals
31 dated events
- Hunter Paul Haley left Cerity Partners Retirement Plan Consultants for Ameriprise Financial Services, Llc (registered 2026-05-15)May 15, 2026 · Advisor changed firm · fact
- Cerity Partners Retirement Plan Consultants reported RAUM $40.3B, up 93% from $20.8B (2026-03-31 to 2026-04-21)Apr 21, 2026 · RAUM change · derived
- Cerity Partners Retirement Plan Consultants reported 29 offices beyond its principal office, up from 21 (2026-02-25 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- Cerity Partners Retirement Plan Consultants reported 68 state-registered advisory representatives, up from 53 (2024-08-15 to 2025-03-31)Mar 31, 2025 · Advisor headcount change · derived
- Scott Michael Lepa left Cerity Partners Retirement Plan Consultants for Prasad Wealth Partners (registered 2025-06-20)Feb 24, 2025 · Advisor changed firm · fact
- Kate Elisabeth Kittinger left Cerity Partners Retirement Plan Consultants for Pension Architects Advisory Group Llc (registered 2014-04-01)Nov 20, 2024 · Advisor changed firm · fact
- George Christopher Curtis (Chief Financial Officer) no longer on Schedule A of Cerity Partners Retirement Plan Consultants (listed 2024-03-28, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- Chitranjan Suketu Shah (Chief Financial Officer) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsAug 15, 2024 · Control person joined · fact
- A Benjamin Pace (Chief Investment Officer) no longer on Schedule A of Cerity Partners Retirement Plan Consultants (listed 2024-03-28, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- Cerity Partners Retirement Plan Consultants reported 17 offices beyond its principal office, up from 12 (2023-07-05 to 2024-03-28)Mar 28, 2024 · Office count change · derived
- Cerity Partners Retirement Plan Consultants reported 53 state-registered advisory representatives, up from 40 (2023-07-05 to 2024-03-28)Mar 28, 2024 · Advisor headcount change · derived
- Isom Arthur Prostick (Chief Compliance Officer) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsMar 28, 2024 · Control person joined · fact
- Cerity Partners Retirement Plan Consultants reported RAUM $16.2B, up 27% from $12.8B (2023-07-05 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Anne Pulliam Johnston no longer registered at Cerity Partners Retirement Plan Consultants; no later IA registration on IAPDSep 29, 2023 · Advisor departure · fact
- Elizabeth Nancy Renshaw (Chief Compliance Officer) no longer on Schedule A of Cerity Partners Retirement Plan Consultants (listed 2023-06-01, absent 2023-07-05)Jul 5, 2023 · Control person left · inference
- Lawrence Neil Quinlan (Director Of Operations) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsJul 5, 2023 · Control person joined · fact
- Elizabeth Nancy Renshaw (Chief Compliance Officer) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsMar 30, 2023 · Control person joined · fact
- Ashley Stuart Evans (Chief Compliance Officer) no longer on Schedule A of Cerity Partners Retirement Plan Consultants (listed 2023-02-15, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Cerity Partners Retirement Plan Consultants reported 12 offices beyond its principal office, up from 7 (2023-02-15 to 2023-03-30)Mar 30, 2023 · Office count change · derived
- Cerity Partners Retirement Plan Consultants reported 40 state-registered advisory representatives, up from 19 (2023-02-15 to 2023-03-30)Mar 30, 2023 · Advisor headcount change · derived
- Alexandra Maria Hodi (Chief Administrative Officer) no longer on Schedule A of Cerity Partners Retirement Plan Consultants (listed 2022-09-16, absent 2022-10-17)Oct 17, 2022 · Control person left · inference
- Cerity Partners Retirement Plan Consultants reported RAUM $13.2B, up 26% from $10.5B (2021-07-19 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- G. Christopher Curtis (Chief Financial Officer) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsMar 29, 2021 · Control person joined · fact
- Kathryn Joan Rockey (Chief Financial Officer) no longer on Schedule A of Cerity Partners Retirement Plan Consultants (listed 2020-09-18, absent 2021-01-04)Jan 4, 2021 · Control person left · inference
- Ashley Stuart Evans (Chief Compliance Officer) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsSep 18, 2020 · Control person joined · fact
- Kathryn Joan Rockey (Chief Financial Officer) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsMar 27, 2020 · Control person joined · fact
- Brent Coles (Chief Financial Officer) no longer on Schedule A of Cerity Partners Retirement Plan Consultants (listed 2019-03-31, absent 2019-07-29)Jul 29, 2019 · Control person left · inference
- Brent Coles (Chief Financial Officer) appeared on Schedule A of Cerity Partners Retirement Plan ConsultantsMar 31, 2019 · Control person joined · fact
- Cerity Partners Retirement Plan Consultants reported RAUM $11.4B, up 1243% from $846.5M (2019-01-07 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
- Cerity Partners Retirement Plan Consultants reported 13 state-registered advisory representatives, up from 0 (2019-01-07 to 2019-03-31)Mar 31, 2019 · Advisor headcount change · derived
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
- Firm profile
- linkedin.com/company/cerity-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- verusinvestments.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-850-4260reportedpublic record, Form ADV, Jul 22, 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
- $491Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026