{"url":"https://nivawealth.com/firms/envestnet-retirement-solutions-171570","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/171570","regulatoryAum":16304055039,"crd":"171570","secFileNumber":"801-79855","legalName":"Envestnet Retirement Solutions, LLC","displayName":"Envestnet Retirement Solutions","website":"http://www.envestnet.com","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1000 Chesterbrook Boulevard , Suite 250","city":"Berwyn","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19312"},"tradeNames":["Ers"],"registration":{"secApproved":"28 April 2014","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":24,"advisory":15,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":16304055039,"discretionaryAccounts":4876,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":4527},"clientTypes":[{"label":"Pooled investment vehicles","clients":420,"regulatoryAum":2099083150},{"label":"Pension and profit-sharing plans","clients":4391,"regulatoryAum":13886759707},{"label":"State or municipal government entities","clients":65,"regulatoryAum":318212182}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Envestnet Retirement Solutions does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Christopher Todd","title":"Chief Executive Officer","crd":"2275948"},{"name":"Erik Preus","title":"President","crd":"2404788"},{"name":"John Hofmann","title":"Chief Financial Officer","crd":"8168130"},{"name":"Debra Devoe","title":"Chief Compliance Officer","crd":"2372586"},{"name":"Dana D'Auria","title":"Co-Chief Investment Officer","crd":"5870286"},{"name":"Denise Diana","title":"Principal Director","crd":"4147113"},{"name":"Kathryn Evans","title":"Chief Operations Officer","crd":"2788543"},{"name":"Shelly O'Brien","title":"Corporate Secretary","crd":"4520223"}],"ownership":[{"label":"Envestnet, Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since November 2018."},{"label":"Bain Capital Fund Xiii, L.P.","detail":"Indirect owner: a owner of Bcpe Pequod Investor, LP in the 25% to 50% band, since November 2024.","parent":"Bcpe Pequod Investor, LP"},{"label":"Bcpe Pequod Buyer, Inc.","detail":"Indirect owner: a owner of Envestnet, Inc. in the 75% or more band and a control person, since November 2024.","parent":"Envestnet, Inc."},{"label":"Bcpe Pequod Intermediate, LLC","detail":"Indirect owner: a owner of Bcpe Pequod Buyer, Inc. in the 75% or more band and a control person, since November 2024.","parent":"Bcpe Pequod Buyer, Inc."},{"label":"Bcpe Pequod Investor, LP","detail":"Indirect owner: a owner of Bcpe Pequod Topco, LP in the 50% to 75% band and a control person, since November 2024.","parent":"Bcpe Pequod Topco, LP"},{"label":"Bcpe Pequod Parent , Inc.","detail":"Indirect owner: a owner of Bcpe Pequod Intermediate, LLC in the 75% or more band and a control person, since November 2024.","parent":"Bcpe Pequod Intermediate, LLC"},{"label":"Bcpe Pequod Topco, LP","detail":"Indirect owner: a owner of Bcpe Pequod Parent , Inc. in the 75% or more band and a control person, since November 2024.","parent":"Bcpe Pequod Parent , Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"1000 Chesterbrook Boulevard , Suite 250","city":"Berwyn","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"18663184015","stateRegisteredReps":4,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":31}],"privateFunds":0},"sources":{"adv1FilingDate":"30 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/171570/PDF/171570.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Envestnet Retirement Solutions have?","answer":"Envestnet Retirement Solutions has 4,876 clients and manages $16.3 billion for them, as of June 2026. They include 4,391 pension and profit-sharing plans, 420 pooled investment vehicles and 65 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Envestnet Retirement Solutions offer?","answer":"Envestnet Retirement Solutions provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Envestnet Retirement Solutions have?","answer":"Envestnet Retirement Solutions has 4 investment adviser representatives registered with state securities authorities, out of 24 employees, and 15 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Envestnet Retirement Solutions invest in?","answer":"At the end of its last fiscal year, Envestnet Retirement Solutions’ separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs) and 31% pooled vehicles (private funds and similar). 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 Envestnet Retirement Solutions?","answer":"Envestnet Retirement Solutions is owned through a chain of holding companies by Bain Capital Fund Xiii, L.P. Its direct owner is Envestnet, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Envestnet Retirement Solutions get paid?","answer":"Envestnet Retirement Solutions is paid through a percentage of assets under management and fixed fees. 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":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}