Richmond, VA Paragon Place Office
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Advice and Planning Services
Enterprise
Firm-wide stats for Advice and Planning Services
About
TIAA‑CREF Individual & Institutional Services, LLC’s Advice & Planning Services division provides financial planning, discretionary managed account programs (TIAA Portfolio Advisor, TIAA Personal Portfolio, and Private Asset Management), and separate broker‑dealer services to individuals—frequently those with pre‑existing relationships through TIAA‑administered employer retirement plans—as well as trusts, estates, partnerships, corporate entities, and small retirement plans. The firm also facilitates referrals to affiliated services such as TIAA Trust and serves as investment adviser to the TIAA Donor Advised Fund sponsored by Charityvest.
The firm’s advisory model separates point‑in‑time Planning Services (Life Goals Analysis and Personal Financial Plan), which end at delivery and are not monitored, from ongoing discretionary management through its managed account programs; PA and TPP rely on model portfolios while PAM offers customized portfolios managed by a dedicated portfolio manager under a client‑approved investment policy statement. TC Services applies a fiduciary standard to its RIA services but explains that the scope of that duty varies by service, and its managed accounts commonly use wrap‑fee structures and may include affiliated funds, which the brochure identifies and discloses as potential conflicts.
Noteworthy features include acting as adviser to a donor‑advised fund and operating within a vertically integrated group that uses affiliated funds; the brochure notes the firm generally relies on asset‑based and wrap fees rather than fixed fees and describes related conflicts and mitigation measures. The firm also discloses a series of regulatory enforcement matters (including SEC and state settlements, client restitution, and related remedial actions such as changes to compensation, training, disclosures, and supervision), which the brochure cites as informing its current compliance and supervisory practices.
Based on Advice and Planning Services
Expertise
Based on Advice and Planning Services
Occupation focus
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Demographic focus
Based on Advice and Planning Services
Location
6802 Paragon Place, Suite 410,rooms 437, 438, 439, 440
Richmond VA 23230
Advisors at this office
4
Advisors at this office
John S
Series 63, Series 66
Richmond, VA
TIAA-CREF
John Spooner is a financial advisor with TIAA-CREF in Richmond, VA, holding Series 63 and Series 66 licenses and bringing 11 years of industry experience. His prior experience includes roles at Massachusetts Mutual Life Insurance Company, Ameritas Life Insurance Corp., Wells Fargo, and its clearing division. TIAA-CREF Individual & Institutional Services, LLC provides financial planning and discretionary managed account programs to individuals, trusts, estates, and small retirement plans, often serving clients with employer retirement plan relationships. The firm combines point-in-time financial planning with ongoing portfolio management, offering both model-based and customized investment strategies.
Richard W
CFA®, Series 66
Richmond, VA
TIAA-CREF
Richard Ware is a CFA® charterholder and holds a Series 66 license with over four years of industry experience. He currently works at TIAA-CREF and previously was with Chesapeake Wealth Management and Chesapeake Financial Group. Ware serves as a board member of The Health Brigade, a free health clinic in Richmond, where he provides advisory support. TIAA-CREF Individual & Institutional Services, LLC offers financial planning and managed account programs to individuals and a variety of institutional clients. The firm distinguishes between point-in-time planning and ongoing discretionary management, serving clients often connected through employer retirement plans and providing access to affiliated services such as TIAA Trust and donor-advised funds.
Philip B
Series 66
Richmond, VA
TIAA-CREF
Philip Baxley is a financial advisor at TIAA-CREF with 15 years of industry experience. He holds a Series 66 designation and has been with TIAA-CREF since 2014. The firm serves individuals, trusts, estates, partnerships, corporate entities, and small retirement plans, often through clients’ existing employer-sponsored retirement plans. TIAA-CREF offers financial planning and managed account programs that include discretionary portfolio management and maintains a fiduciary standard tailored to the services provided.
Lisa M
Series 66
Richmond, VA
TIAA-CREF
Lisa Miranda is a Series 66-licensed financial advisor with TIAA-CREF in Richmond, VA, where she has worked since 2014. She has 19 years of industry experience. TIAA-CREF Individual & Institutional Services provides financial planning and discretionary managed account programs to individuals, trusts, estates, partnerships, corporate entities, and small retirement plans, often serving clients with pre-existing retirement plan relationships. The firm offers a separation between one-time planning services and ongoing portfolio management through model or customized portfolios under a fiduciary standard.
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