← Tributary

CERITY PARTNERS OCIO LLC

NEW YORK, NY · CRD 151916 · IAPD ↗ · ceritypartners.com · 212-850-4260

$21.13BRegulatory AUM
21Advisory reps
61Employees
0Clients
n/aPlanning clients
1Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
July 2024 — CERITY PARTNERS OCIO LLC notice-filed in CO, TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
July 2024 — CERITY PARTNERS OCIO LLC added office(s): 0 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
July 2024 — CERITY PARTNERS OCIO LLC now reports custody of client assets ($14.93B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
75
July 2024 — CERITY PARTNERS OCIO LLC now reports 2 private fund(s) ($4.28B gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
July 2024 — CERITY PARTNERS OCIO LLC grew from 0 to 21 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
42
May 2024 — CERITY PARTNERS OCIO LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
May 2024 — CERITY PARTNERS OCIO LLC moved its main office from LOUISVILLE, KY to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
55
May 2024 — ARGI INVESTMENT SERVICES, LLC is now doing business as CERITY PARTNERS OCIO LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
50
April 2024 — ARGI INVESTMENT SERVICES, LLC shrank from 102 to 0 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.