{ "crd_number": 334925, "slug": "tiaa-wealth-investment-management-llc-new-york-ny-334925", "primary_business_name": "TIAA WEALTH INVESTMENT MANAGEMENT LLC", "legal_name": "TIAA WEALTH INVESTMENT MANAGEMENT LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-03-31", "years_registered": 1, "period": "2026-10-01", "filing_date": "2026-08-17", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 5, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "periodicals_newsletters", "portfolio_management_businesses_institutional", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "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", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://facebook.com/TIAA", "https://instagram.com/tiaa", "https://linkedin.com/company/tiaa", "https://tiaa.org", "https://tiktok.com/@tiaa", "https://twitter.com/tiaa", "https://x.com/tiaa", "https://youtube.com/c/+tiaa", "https://youtube.com/tiaa" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/334925", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "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?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/tiaa-wealth-investment-management-llc-new-york-ny-334925", "display_name": "TIAA Wealth Investment Management LLC", "summary": "TIAA Wealth Investment Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2025, with no regulatory assets under management reported in its Form ADV filing dated August 17, 2026.", "citation": "AdvisorCensus. TIAA Wealth Investment Management LLC (CRD 334925): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)", "Publication of periodicals or newsletters", "Educational seminars/workshops" ], "quick_answers": [ { "q": "How is TIAA Wealth Investment Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), TIAA Wealth Investment Management LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is TIAA Wealth Investment Management LLC located?", "a": "TIAA Wealth Investment Management LLC's principal office is in New York, NY, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is TIAA Wealth Investment Management LLC registered with the SEC or a state?", "a": "TIAA Wealth Investment Management LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 334925." }, { "q": "How have TIAA Wealth Investment Management LLC's assets and staff changed since 2025?", "a": "In the Form ADV data for TIAA Wealth Investment Management LLC: Total employees: 2 in October 2025 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Does TIAA Wealth Investment Management LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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/334925" }, { "q": "What changed in TIAA Wealth Investment Management LLC's recent Form ADV filings?", "a": "In the May 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": 2, "filing_date": "2025-03-10" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": 5, "filing_date": "2026-08-17" } ], "recent_changes": [ { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/tiaa-wealth-investment-management-llc-new-york-ny-334925.md", "clients": [], "disclosure_line": "Reports 2 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/334925", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }