ADVICE AND PLANNING SERVICES

Broker-DealerFINRA MemberEst. 2004
Total AUM
$37.9B
Discretionary
$37.9B
100% of AUM
Accounts
72,503
Employees
1,293
Advisory reps
3,507
Brokerage reps
1,190

Firm details

Headquarters
New York, New York
CRD number
20472
Registered since
September 24, 2004
Website
www.tiaa.org
Custodians
PERSHING LLC
Fee structure
Percentage of AUM, Other
Client types
  • HNWI77.93%
  • Individuals22.03%
  • Corporations / Businesses0.03%
  • Charitable Organizations0.02%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Advice And Planning Services is an LLC operating as an insurance-focused broker-dealer that also offers advisory services. The firm has been SEC-registered since 2004 and serves a mix of individual and family clients alongside institutional relationships. Its advisory capabilities include financial planning, portfolio management for individuals and small businesses, selecting third-party advisers on clients’ behalf, and running educational seminars and workshops. The firm identifies itself as an active ESG investor and combines broker-dealer distribution with advisor-led portfolio services.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 99%, Cash & Cash Equivalents 1%99%
  • Public Funds/Mutual Funds99%
  • Cash & Cash Equivalents1%

Owners & executives

3 of 14

  • Rohitha Vaddi

    Director, Chief of StaffCRD 6994602

  • James Deats

    President and CEOCRD 4895304

  • Niladri Mukherjee

    Chief Investment OfficerCRD 5227234

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Contacts

3 of 3493

  • Stuart Mershon

    Associate General CounselCRD 5849350

  • Bradford Newitt

    Wealth Management AdvisorCRD 4713515

  • Anthony Jackson

    Registered RepresentativeCRD 7385353

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 334

Active vs passive

$25.8B in ETFs

Passive

99%

$25.6B

Active

<1%

$180M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE MSCI EAFE ETF (IEFA)BlackRockPassiveForeign Large Blend$1.7B19,326,4736.79%
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Location

Primary office

New York, NY

NEW YORK

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NEW YORK
Address
730 3rd Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

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