SEC-registered wealth management firm Broker-dealer affiliated
Advice and Planning Services
As of its Form ADV filed July 6, 2026, Advice and Planning Services, an SEC-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $37.9 billion in regulatory assets under management across 72,503 accounts, ranking #11 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 20472
- SEC file number
- 801-63550
- Registered since
- September 24, 2004
- Latest Form ADV filing
- July 6, 2026
- Legal name
- TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 143
Key figures
- Regulatory assets under management
- $37.9 billion
- Discretionary
- $37.9 billion (100.0%)
- Non-discretionary
- $0
- Accounts
- 72,503 (72,503 discretionary)
- Clients
- 108,150, approximate as reported
- Employees
- 1,293
- Advisory staff
- 1,020 performing investment advisory functions
- Average account
- $523,131
- Asset growth, 1 year
- 10.4% (from $34.3 billion a year earlier)
- Asset growth, 3-year annual rate
- 7.1% (from $30.9 billion three years earlier)
- Asset growth, 5-year annual rate
- 0.8% (from $36.4 billion five years earlier)
- Client growth, 1 year
- 1.8% (from 106,255)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $707.0 million |
| October 3, 2011 | $2.4 billion |
| October 1, 2012 | $4.6 billion |
| October 1, 2013 | $7.3 billion |
| October 1, 2014 | $11.0 billion |
| October 1, 2015 | $14.7 billion |
| October 3, 2016 | $16.8 billion |
| October 2, 2017 | $21.7 billion |
| October 1, 2018 | $25.8 billion |
| October 1, 2019 | $25.2 billion |
| October 1, 2020 | $30.5 billion |
| October 4, 2021 | $36.4 billion |
| October 3, 2022 | $39.3 billion |
| October 5, 2023 | $30.9 billion |
| October 1, 2024 | $32.7 billion |
| September 2, 2025 | $34.3 billion |
| October 2, 2026 | $37.9 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 46,802 clients | $29.6 billion | |
| Individuals (other than high net worth) 25,667 clients | $8.4 billion | |
| Corporations or other businesses 20 clients | $10.7 million | |
| Charitable organizations 14 clients | $6.2 million |
How the firm is paid
- A percentage of assets under management
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Selection of other advisers
- Educational seminars or workshops
Financial planning clients (Item 5.H): 102500.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Municipal advisor
- Commodity pool operator or commodity trading advisor
- Banking or thrift institution
- Insurance company or agency
- Pension consultant
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $37.9 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 1,707
- Also registered through a broker-dealer
- 1,613
- Employees who are IARs (Form ADV 5.B(3))
- 1,099
Designations held by the firm's IARs: CFA 31, CFP 31, ChFC 1.
Between 382 and 900 of the firm's 1,707 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 9 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| First Manhattan Co. LLC | New York | $38.1 billion |
| Rockefeller Capital Management | New York | $36.8 billion |
| Oppenheimer & Co. Inc. | New York | $36.7 billion |
| BBR Partners, LLC | New York | $36.5 billion |
| Wealthspire Advisors | New York | $34.3 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Advice and Planning Services on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.tiaa.org
- Wealth management firms in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.