SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
TIAA Kaspick, LLC
Boston, MA
CRD 104554
Firm filing updated June 29, 2026 ·
- $8.7BAssets
- 16Advisory staff
- 6,140Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Charities139
- Individuals15
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 15 | $113.6 million |
| Charitable organizations | 139 | $8.2 billion |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $378.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "FINANCIAL CONSULTING"
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "FINANCIAL CONSULTING"
Assets and accounts
- Regulatory assets$8.7 billion
- Accounts6,140
- Discretionary$8.7 billion · 6,135 accounts
- Non-discretionary$14.2 million · 5 accounts
People
- Employees115
- Advisory staff16
- Broker-dealer reps1
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 104554, SEC file 801-28179.
- Registered with the SEC as an investment advisor (status date on record: October 23, 1986).
Is Tiaa Kaspick, LLC a fiduciary?
Short answer: Tiaa Kaspick, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 1 staff member is a broker-dealer representative and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.