# TIAA KASPICK, LLC

TIAA KASPICK, LLC of BOSTON, MA is an SEC-registered investment adviser.

## Registration

- CRD: 104554
- Type: SEC-registered investment adviser
- SEC file number: 801-28179
- Location: 100 FEDERAL ST., 19TH FLOOR, BOSTON, MA, 02110-1313
- Phone: 650-585-4100
- Latest filing: 2026-06-29
- Regulatory AUM: $8.7B
- Discretionary AUM: $8.7B
- Non-discretionary AUM: $14.2M
- Clients: 115
- Accounts: 6,140

## Business model

- Compensation: % of AUM, Hourly
- Clients served: High net worth, Pooled vehicles, Other

## Officers, owners & control persons (70)

_Showing 25 of 70 people._

| Name | Role | Location |
| --- | --- | --- |
| [Scott Lee](https://search.stillhousedata.com/person/29965) | MEMBER, BOARD OF MANAGERS | North Bend, WA |
| [Lewis Lee](https://search.stillhousedata.com/person/34845) | GENERAL COUNSEL | SPOKANE, WA |
| [Himani Trivedi](https://search.stillhousedata.com/person/55632) | MEMBER, BOARD OF MANAGERS | New York, NY |
| [Scott B Lee](https://search.stillhousedata.com/person/173275) | MEMBER, BOARD OF MANAGERS | Orlando, FL |
| [Scott Rhys Lee](https://search.stillhousedata.com/person/417434) | MEMBER, BOARD OF MANAGERS | Vancouver, A1 |
| [Scott M Lee](https://search.stillhousedata.com/person/514555) | MEMBER, BOARD OF MANAGERS | San Mateo, CA |
| [Thomas Joseph Scott](https://search.stillhousedata.com/person/693178) | GENERAL COUNSEL | — |
| [Joseph Patrick Gerharz](https://search.stillhousedata.com/person/701872) | CHIEF FINANCIAL OFFICER | — |
| [David Sean Lyons](https://search.stillhousedata.com/person/701873) | CHIEF COMPLIANCE OFFICER | — |
| [Mohammad Ali Iqbal](https://search.stillhousedata.com/person/701874) | CHAIR, BOARD OF MANAGERS/PRESIDENT | — |
| [Bradley Finkle](https://search.stillhousedata.com/person/701875) | MEMBER, BOARD OF MANAGERS | — |
| [Ian Celecia](https://search.stillhousedata.com/person/701876) | GENERAL COUNSEL | — |
| [Derek James Heaslip](https://search.stillhousedata.com/person/701877) | MANAGER | — |
| [Richard Jon Immesberger](https://search.stillhousedata.com/person/701878) | MEMBER, BOARD OF MANAGERS | — |
| [Damon Whelchel](https://search.stillhousedata.com/person/701879) | CHIEF INVESTMENT OFFICER | — |
| [Robert Duncan Spivey](https://search.stillhousedata.com/person/701880) | CHIEF OPERATING OFFICER | — |
| [BRUNET STUART REDMAN](https://search.stillhousedata.com/person/727969) | CHIEF COMPLIANCE OFFICER | — |
| [RYGMYR ADYM WAGNER](https://search.stillhousedata.com/person/730440) | CHIEF LEGAL OFFICER; GENERAL COUNSEL | — |
| [DECKBAR CAROL WARD](https://search.stillhousedata.com/person/730791) | MEMBER, BOARD OF MANAGERS | — |
| [TERMOHLEN SUSAN MARY](https://search.stillhousedata.com/person/733037) | MEMBER | — |
| [KORTHALS CHARLES ALAN](https://search.stillhousedata.com/person/733038) | CHIEF CLIENT RELATIONSHIP OFFICER; MEMBER | — |
| [KASPICK JEFFREY SCOTT](https://search.stillhousedata.com/person/733039) | MANAGING DIRECTOR; MEMBER, BOARD OF MANAGERS; MEMBER, BOARD OF MANAGERS, AND CHAIRMAN EMERITUS | — |
| [MASON ABIGAIL](https://search.stillhousedata.com/person/733040) | MEMBER | — |
| [MESEC COLLEEN SUSAN](https://search.stillhousedata.com/person/733041) | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER; RISK MANAGEMENT OFFICER | — |
| [MILTENBERGER FRANCINE MARIE](https://search.stillhousedata.com/person/733042) | CHIEF OPERATING OFFICER; MEMBER, BOARD OF MANAGERS; PRESIDENT; AND CHIEF EXECUTIVE OFFICER | — |


## Disclosures (13)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-07-18 | regulatory | TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA ("TIAA") ACCEPTED A CONSENT ORDER FOR FAILING TO PROVIDE A TIMELY CYBERSECURITY EVENT NOTIFICATION TO THE MIA IN VIOLATION OF ?33-105(A) WHICH REQUIRES CARRIERS TO GIVE NOTICE TO THE MIA WITHIN THREE BUSINESS DAYS OF DETERMINING A CYBERSECURITY E… | Final | $1K |
| 2020-03-02 | regulatory | THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: FAILURE TO PROVIDE THE "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FAILURE TO PROVIDE BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS, AS REQUIRED BY SECTION 50 ILL. ADM. CODE 919.70(A)(2); AN… | Final | $18K |
| 2016-03-17 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF NEW YORK INSURANCE LAWS. | Final | $18K |
| 2014-06-30 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF CONNECTICUT INSURANCE LAWS | Final | $2K |


## Branch offices (3)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| REDWOOD SHORES | CA | 10 | 650-585-4100 |
| ST LOUIS | MO | 1 | 314-244-5000 |
| CHARLOTTE | NC | 1 | 650-585-4100 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/104554/brochure
- Similar advisers: https://search.stillhousedata.com/firm/104554/similar
- Related entities: https://search.stillhousedata.com/firm/104554/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/104554

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.