{ "crd_number": 126777, "slug": "creative-planning-institutional-advisors-llc-newport-beach-ca-126777", "primary_business_name": "CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC", "legal_name": "CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC", "dbas": [], "city": "Newport Beach", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2005-05-31", "years_registered": 21, "period": "2026-10-01", "filing_date": "2026-08-25", "carried_forward": false, "raum_total": 37502470791.0, "raum_discretionary": 37502470791.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 195, "advisory_employees": 112, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 54798114.0, "count": 124 }, "state_municipal": { "raum": 1312557885.0, "count": 19 }, "pension_profit_sharing": { "raum": 35630545016.0, "count": 668 }, "high_net_worth_individuals": { "raum": 468700805.0, "count": 95 }, "corporations_other_businesses": { "raum": 35868971.0, "count": 9 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://facebook.com/SAGEVIEWADVISORYGROUP", "https://linkedin.com/COMPANY/SAGEVIEW-ADVISORY-GROUP", "https://sageviewadvisory.com", "https://sageviewwealth.com", "https://twitter.com/SAGEVIEWADVISOR" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/126777", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.H(2)", "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?" } ], "city_as_filed": "NEWPORT BEACH", "url": "https://advisorcensus.com/firm/creative-planning-institutional-advisors-llc-newport-beach-ca-126777", "display_name": "Creative Planning Institutional Advisors, LLC", "summary": "Creative Planning Institutional Advisors, LLC is an SEC-registered investment advisory firm in Newport Beach, CA, registered since 2005, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 25, 2026.", "citation": "AdvisorCensus. Creative Planning Institutional Advisors, LLC (CRD 126777): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is Creative Planning Institutional Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Creative Planning Institutional Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "What does Creative Planning Institutional Advisors, LLC's brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated August 25, 2026 states: Asset-based fee: 0.55% to 1.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Creative Planning Institutional Advisors, LLC located?", "a": "Creative Planning Institutional Advisors, LLC's principal office is in Newport Beach, CA, according to its Form ADV; the September 2026 filing also lists 23 other offices (Schedule D, Section 1.F)." }, { "q": "Is Creative Planning Institutional Advisors, LLC registered with the SEC or a state?", "a": "Creative Planning Institutional Advisors, LLC is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 126777." }, { "q": "How much does Creative Planning Institutional Advisors, LLC manage?", "a": "Creative Planning Institutional Advisors, LLC reports $37,502,470,791 in regulatory assets under management in its Form ADV filing dated August 25, 2026 (100% discretionary)." }, { "q": "How have Creative Planning Institutional Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Creative Planning Institutional Advisors, LLC: Regulatory assets under management: $133,658,889,053 in the October 2021 data and $37,502,470,791 in the October 2026 data, down 72%. Total employees: 129 in October 2021 and 195 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Creative Planning Institutional Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (668); individuals (other than high net worth individuals) (124); high net worth individuals (95)." }, { "q": "Which custodians does Creative Planning Institutional Advisors, LLC use?", "a": "Creative Planning Institutional Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Empower Financial Services, Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Creative Planning Institutional Advisors, LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(4) (another regulator's order in the past ten years), and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/126777" }, { "q": "What changed in Creative Planning Institutional Advisors, LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: No longer lists the business name Sageview Retirement Plan Consultants, Inc.. No longer lists the business name Sageview Global Pensions, LLC. Changed its legal name from Sageview Advisory Group, LLC to Creative Planning Institutional Advisors, LLC." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 133658889053.0, "total_employees": 129, "filing_date": "2021-09-15" }, { "period": "2022-10-01", "regulatory_assets_under_management": 176336258193.0, "total_employees": 195, "filing_date": "2022-07-06" }, { "period": "2023-10-01", "regulatory_assets_under_management": 156399419714.0, "total_employees": 224, "filing_date": "2023-09-25" }, { "period": "2024-10-01", "regulatory_assets_under_management": 202573491630.0, "total_employees": 262, "filing_date": "2024-09-06" }, { "period": "2025-10-01", "regulatory_assets_under_management": 238552018915.0, "total_employees": 248, "filing_date": "2025-07-24" }, { "period": "2026-10-01", "regulatory_assets_under_management": 37502470791.0, "total_employees": 195, "filing_date": "2026-08-25" } ], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "No longer lists the business name Sageview Retirement Plan Consultants, Inc..", "No longer lists the business name Sageview Global Pensions, LLC.", "Changed its legal name from Sageview Advisory Group, LLC to Creative Planning Institutional Advisors, LLC." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 133 to 112.", "Regulatory assets under management went from $238,552,018,915 to $37,502,470,791 (-84%).", "Added an office in Oakbrook Terrace, IL.", "Added an office in Overland Park, KS.", "No longer lists an office in Atlanta, GA.", "No longer lists an office in Austin, TX.", "No longer lists an office in Brownsville, WI.", "No longer lists an office in Culver City, CA.", "No longer lists an office in Irvine, CA.", "No longer lists an office in Kansas City, MO.", "No longer lists an office in San Jose, CA.", "No longer lists an office in Southlake, TX.", "No longer lists an office in Valencia, CA.", "No longer lists an office in Westlake Village, CA." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Item 11 disclosure answers changed: 4 yes answers, previously 1 (now yes: 11.C(2), 11.C(5), 11.D(4)).", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Item 11 disclosure answers changed: 1 yes answer, previously 3 (now no: 11.D(2), 11.H(1)(c)).", "Changed its office addresses in Westlake Village, CA." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated August 25, 2026", "tiers": [], "flat_rate": null, "stated_range": "0.55% to 1.5% a year", "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 0.55% to 1.5% a year (a range, as the brochure states it)" ], "quotes": [ "Our Asset-Based Fee ranges from 0.55% to 1.50% of the assets under management, and is based on the size, nature, complexity, and services of the particular client’s account(s)." ] } ], "quotes": [ "Our Asset-Based Fee ranges from 0.55% to 1.50% of the assets under management, and is based on the size, nature, complexity, and services of the particular client’s account(s)." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Empower Financial Services, Inc.", "name_as_filed": "EMPOWER FINANCIAL SERVICES, INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/creative-planning-institutional-advisors-llc-newport-beach-ca-126777.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 124, "fewer_than_5": false, "raum": 54798114.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 95, "fewer_than_5": false, "raum": 468700805.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 668, "fewer_than_5": false, "raum": 35630545016.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 19, "fewer_than_5": false, "raum": 1312557885.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 9, "fewer_than_5": false, "raum": 35868971.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/126777", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }