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

Tiaa Advisory, LLC

Former SEC-registered adviserNew York, New YorkCRD 290120SEC 801-111992IAPD
Latest filing Feb 19, 2020
First filing on the tape Oct 2, 2017 · 10 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 29, 2019
Mar 31, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 31, 20180 then
Employees (5.A)2 as of Mar 29, 2019
Mar 31, 20182 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Feb 19, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Francis William Cairney · Chief Compliance Officercontrol
        since 06/2019 · owns less than 5%
      • Gunnar William Griesser · Presidentcontrol
        since 06/2017 · owns less than 5%
      • James Derek Heaslip · Chief Financial Officercontrol
        since 03/2019 · owns less than 5%
      Entity owners
      • Tiaa Rfs, LLC · Direct Owner Of Applicant
        direct · owns 75% or more
      • Teachers Insurance And Annuity Association Of America · Sole Owner
        indirect · owns 75% or more of Tiaa Rfs, LLC
      • Tiaa Board Of Overseers · Sole Owner
        indirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
      Related persons
      Schedule D 7.A
      Advisers that list Tiaa Advisory, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Charlotte, NC1 employees
      What changed
      consecutive filings, newest first
      • Other offices · 2 to 1
        Jun 21, 2019 to Feb 19, 2020
      Signals
      5 dated events
      • Casey James Brogan (Chief Compliance Officer) no longer on Schedule A of Tiaa Advisory, Llc (listed 2019-03-29, absent 2019-06-21)
        Jun 21, 2019 · Control person left · inference
      • Francis William Cairney (Chief Compliance Officer) appeared on Schedule A of Tiaa Advisory, Llc
        Jun 21, 2019 · Control person joined · fact
      • James Derek Heaslip (Chief Financial Officer) appeared on Schedule A of Tiaa Advisory, Llc
        Mar 29, 2019 · Control person joined · fact
      • H Scot Parnell (Chief Financial Officer) no longer on Schedule A of Tiaa Advisory, Llc (listed 2018-11-05, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Tiaa Advisory, Llc filed its initial SEC registration (Form ADV)
        Oct 2, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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