{"url":"https://nivawealth.com/firms/cerity-partners-ocio-151916","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/151916","regulatoryAum":21132697705,"crd":"151916","secFileNumber":"801-70888","legalName":"Cerity Partners Ocio LLC","displayName":"Cerity Partners Ocio","website":"https://www.ceritypartners.com/cerity-partners-ocio/","founded":null,"organization":"Kentucky limited liability company","fiscalYearEnd":"December","headquarters":{"street":"99 Park Avenue, 16th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10016"},"tradeNames":[],"registration":{"secApproved":"4 January 2010","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":61,"advisory":21,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":21132697705,"discretionaryAccounts":42,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":2,"regulatoryAum":8240541},{"label":"Investment companies","clients":1,"regulatoryAum":9756474},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":5950793672},{"label":"Charitable organizations","clients":38,"regulatoryAum":15163907018}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":8591990706},{"name":"State Street Bank","shortName":"State Street Bank","location":"Boston, MA","smaAssets":2004656271},{"name":"Northern Trust","shortName":"Northern Trust","location":"Chicago, IL","smaAssets":2599553559}],"custodyNote":"Cerity Partners Ocio has custody of $21.12B for 38 clients.","otherCustodians":[],"leadership":[{"name":"Kevin Hilden","title":"President","crd":"5037052"},{"name":"Arthur Prostick","title":"Chief Compliance Officer","crd":"2254400"}],"ownership":[{"label":"Cerity Partners LLC","detail":"Member in the 75% or more ownership band and a control person, since December 2009."},{"label":"CP Merger II LLC","detail":"Indirect owner: a member of Cerity Partners Equity Holding LLC in the 75% or more band and a control person, since July 2022.","parent":"Cerity Partners Equity Holding LLC"},{"label":"CP Merger I LLC","detail":"Indirect owner: a member of CP Merger II LLC in the 75% or more band and a control person, since July 2022.","parent":"CP Merger II LLC"},{"label":"CP Intermediate II LLC","detail":"Indirect owner: a member of CP Merger I LLC in the 75% or more band and a control person, since July 2022.","parent":"CP Merger I LLC"},{"label":"CP Intermediate I LLC","detail":"Indirect owner: a member of CP Intermediate II LLC in the 75% or more band and a control person, since July 2022.","parent":"CP Intermediate II LLC"},{"label":"CP-RTS LLC","detail":"Indirect owner: a member of CP Intermediate I LLC in the 75% or more band and a control person, since November 2022.","parent":"CP Intermediate I LLC"},{"label":"CP-Acp LLC","detail":"Indirect owner: a member of CP-MCM LLC in the 75% or more band and a control person, since January 2023.","parent":"CP-MCM LLC"},{"label":"CP-MCM LLC","detail":"Indirect owner: a member of CP-RTS LLC in the 75% or more band and a control person, since January 2023.","parent":"CP-RTS LLC"},{"label":"Genstar X GP LLC","detail":"Indirect owner: general partner of Genstar Capital X L.P. and a control person, since July 2022.","parent":"Genstar Capital X L.P."},{"label":"CP Intermediate III LLC","detail":"Indirect owner: a member of CP-Acp LLC in the 75% or more band and a control person, since March 2026.","parent":"CP-Acp LLC"},{"label":"Genstar Capital Partners X, LP","detail":"Indirect owner: a member of CP Intermediate III LLC in the 25% to 50% band and a control person, since July 2022.","parent":"CP Intermediate III LLC"},{"label":"Genstar Capital X L.P.","detail":"Indirect owner: general partner of Genstar Capital Partners X, LP and a control person, since July 2022.","parent":"Genstar Capital Partners X, LP"},{"label":"Cerity Partners Eoe LLC","detail":"Indirect owner: a member of CP Intermediate III LLC in the 25% to 50% band and a control person, since July 2022.","parent":"CP Intermediate III LLC"},{"label":"Kurt Miscinski","detail":"Indirect owner: manager of Cerity Partners Eoe LLC and a control person, since November 2017.","parent":"Cerity Partners Eoe LLC"},{"label":"Cerity Partners Equity Holding LLC","detail":"Indirect owner: a member of Cerity Partners LLC in the 75% or more band and a control person, since September 2018.","parent":"Cerity Partners LLC"},{"label":"CP Holdings I LLC","detail":"Indirect owner: a member of CP Intermediate III LLC in the 75% or more band and a control person, since July 2022.","parent":"CP Intermediate III LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"6900 E. Layton Ave","city":"Denver"}]},{"state":"New York","offices":1,"addresses":[{"street":"99 Park Avenue, 16th Floor","city":"New York","headquarters":true}]},{"state":"Texas","offices":1,"addresses":[{"street":"3600 N. Capital of Texas Highway","city":"Austin"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-850-4260","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":9},{"label":"Derivatives","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":6},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":79},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":1},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/151916/PDF/151916.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Cerity Partners Ocio have?","answer":"Cerity Partners Ocio has 42 clients and manages $21.1 billion for them, as of March 2026. They include 38 charitable organizations, 2 high-net-worth individuals and 1 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Cerity Partners Ocio offer?","answer":"Cerity Partners Ocio provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Cerity Partners Ocio use?","answer":"Cerity Partners Ocio’s separately managed account assets are held at The Bank of New York Mellon (New York, NY), with $8,591,990,706, Northern Trust (Chicago, IL), with $2,599,553,559 and State Street Bank (Boston, MA), with $2,004,656,271. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Cerity Partners Ocio have?","answer":"Cerity Partners Ocio has 2 investment adviser representatives registered with state securities authorities, out of 61 employees, and 21 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Cerity Partners Ocio invest in?","answer":"At the end of its last fiscal year, Cerity Partners Ocio’s separately managed accounts held 79% pooled vehicles (private funds and similar), 9% exchange-traded equities, 6% registered funds (mutual funds, ETFs, BDCs), 3% derivatives and 3% cash and equivalents. It advises 1 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Cerity Partners Ocio?","answer":"Cerity Partners Ocio is owned through a chain of holding companies by CP Holdings I LLC. Its direct owner is Cerity Partners LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Cerity Partners Ocio get paid?","answer":"Cerity Partners Ocio is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/cerity-partners-ocio-151916/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1519611/000117266126003643/0001172661-26-003643-index.html","totalValue":1975814956,"positionCount":28,"top10Share":0.844611533044798,"top10":[{"issuer":"VANECK ETF TRUST","titleOfClass":"SEMICONDUCTR ETF","cusip":"92189F676","value":378632835,"shares":577281,"shareType":"SH"},{"issuer":"J P MORGAN EXCHANGE TRADED F","titleOfClass":"BETABULDRS JAPAN","cusip":"46641Q217","value":175913916,"shares":2335864,"shareType":"SH"},{"issuer":"ISHARES TR","titleOfClass":"7-10 YR TRSY 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Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}