{"url":"https://nivawealth.com/firms/cerity-partners-retirement-plan-advisors-164198","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164198","regulatoryAum":40253232272,"crd":"164198","secFileNumber":"801-76705","legalName":"Cerity Partners Retirement Plan Advisors LLC","displayName":"Cerity Partners Retirement Plan Advisors","website":"http://www.ceritypartners.com","founded":null,"organization":"Delaware 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":["Cerity Partners","Cerity Partners Institutional Consulting"],"registration":{"secApproved":"29 May 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":193,"advisory":153,"brokerDealerReps":0,"insuranceAgents":13,"promoters":8},"aum":{"discretionary":17022645280,"discretionaryAccounts":572,"nonDiscretionary":23230586992,"nonDiscretionaryAccounts":342,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":105},"clientTypes":[{"label":"Pension and profit-sharing plans","clients":821,"regulatoryAum":31926063351},{"label":"Charitable organizations","clients":20,"regulatoryAum":3382581560},{"label":"State or municipal government entities","clients":4,"regulatoryAum":133689558},{"label":"Corporations and other businesses","clients":5,"regulatoryAum":4810897803}],"fees":[],"feeNotes":[],"custodians":[{"name":"Fidelity Distributors Company LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":4282523569},{"name":"Empower Financial Services, Inc.","shortName":"Empower","location":"Greenwood Village, CO","smaAssets":5022888249},{"name":"Northern Trust 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L.P.","detail":"Indirect owner: a member of CP Holdings I LLC in the 25% to 50% band and a control person, since July 2022.","parent":"CP Holdings I 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":"Cerity Partners Eoe LLC","detail":"Indirect owner: a member of CP Holdings I LLC in the 25% to 50% band and a control person, since September 2018.","parent":"CP Holdings I 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":"Genstar Capital X, L.P.","detail":"Indirect owner: general partner of Genstar Capital Partners X, L.P. and a control person, since July 2022.","parent":"Genstar Capital Partners X, L.P."},{"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 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 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":"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":"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":33,"privateResidences":0},"listedOfficeAddresses":34,"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"7659 E Pinnacle Peak RD.","city":"Scottsdale"}]},{"state":"California","offices":12,"addresses":[{"street":"300 N. 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Canal Street","city":"Chicago"}]},{"state":"Kentucky","offices":3,"addresses":[{"street":"1048 Ashley Street","city":"Bowling Green"},{"street":"2201 High Wickham Place","city":"Louisville"},{"street":"310 Ring Road","city":"Elizabethtown"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"241 North Avenue W","city":"Westfield"}]},{"state":"New York","offices":2,"addresses":[{"street":"99 Park Avenue, 16th Floor","city":"New York","headquarters":true},{"street":"4 Tower Place","city":"Albany"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"4101 Lake Boone Trail","city":"Raleigh"}]},{"state":"Ohio","offices":1,"addresses":[{"street":"1001 Lakeside Avenue","city":"Cleveland"}]},{"state":"Pennsylvania","offices":3,"addresses":[{"street":"1001 Liberty Avenue","city":"Pittsburgh"},{"street":"603 Stanwix Street","city":"Pittsburgh"},{"street":"1628 John F Kennedy Boulevard","city":"Philadelphia"}]},{"state":"Texas","offices":3,"addresses":[{"street":"4900 Woodway Drive","city":"Houston"},{"street":"2015 E Lamar Boulevard","city":"Arlington"},{"street":"3526/3520 West Vickery Boulevard","city":"Fort Worth"}]},{"state":"Virginia","offices":2,"addresses":[{"street":"19415 Deerfield Avenue","city":"Lansdowne"},{"street":"150 West Main Street","city":"Norfolk"}]},{"state":"Washington","offices":1,"addresses":[{"street":"800 Fifth Avenue","city":"Seattle"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-850-4260","stateRegisteredReps":75,"otherAdviserReps":66,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Other"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":65},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":30},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":2,"detail":"Loans and Self-Directed Brokerage Accounts"}],"privateFunds":0},"sources":{"adv1FilingDate":"29 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164198/PDF/164198.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 Retirement Plan Advisors have?","answer":"Cerity Partners Retirement Plan Advisors has 850 clients and manages $40.3 billion for them, as of September 2026. They include 821 pension and profit-sharing plans, 20 charitable organizations and 5 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Cerity Partners Retirement Plan Advisors offer?","answer":"Cerity Partners Retirement Plan Advisors provides portfolio management for institutions, pension consulting, selecting other managers and educational seminars.","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 Retirement Plan Advisors use?","answer":"Cerity Partners Retirement Plan Advisors’ separately managed account assets are held at Northern Trust Corp (Chicago, IL), with $7,772,298,023, U.S. Bancorp (Cincinatti, OH), with $5,958,013,071, Empower Financial Services, Inc. (Greenwood Village, CO), with $5,022,888,249 and Fidelity Distributors Company LLC (Boston, MA), with $4,282,523,569. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Cerity Partners Retirement Plan Advisors have?","answer":"Cerity Partners Retirement Plan Advisors has 75 investment adviser representatives registered with state securities authorities, out of 193 employees, and 153 perform investment advisory functions. 0 are registered representatives of a broker-dealer and 13 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 Retirement Plan Advisors invest in?","answer":"At the end of its last fiscal year, Cerity Partners Retirement Plan Advisors’ separately managed accounts held 65% registered funds (mutual funds, ETFs, BDCs), 30% pooled vehicles (private funds and similar), 2% cash and equivalents, 2% loans and self-directed brokerage accounts, 1% exchange-traded equities and 1% investment grade corporate bonds. It advises no private funds of its own.","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 Retirement Plan Advisors?","answer":"Cerity Partners Retirement Plan Advisors’ direct owner is Cerity Partners LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Cerity Partners Retirement Plan Advisors get paid?","answer":"Cerity Partners Retirement Plan Advisors is paid through a percentage of assets under management, hourly charges, fixed fees and other arrangements. Its Form ADV lists no commissions or performance-based fees 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-retirement-plan-advisors-164198/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2128338/000117266126003644/0001172661-26-003644-index.html","totalValue":239369762,"positionCount":34,"top10Share":0.9154439941332272,"top10":[{"issuer":"STATE STR SPDR S&P 500 ETF T","titleOfClass":"TR UNIT","cusip":"78462F103","value":65696167,"shares":88678,"shareType":"SH","priorValue":57924483,"priorShares":89068},{"issuer":"VANGUARD INDEX FDS","titleOfClass":"TOTAL STK MKT","cusip":"922908769","value":48948110,"shares":133330,"shareType":"SH","priorValue":47103570,"priorShares":146827},{"issuer":"VANGUARD BD INDEX FDS","titleOfClass":"TOTAL 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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."}