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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

CHARLES WILLIAM SAUTER

Advisor at NUVEEN ASSET MANAGEMENT, LLC

CHICAGO, IL

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Search this name across graphsid dfx:ria:0a95cf0b-8abe-2b71-7aed-beffc4e7fea9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NUVEEN ASSET MANAGEMENT, LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 6, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 6, 1992
First registration: Jun 15, 2000
Dual registered: yes, broker-dealer
Other names: CHARLEY SAUTER
IAPD individual key: 2151456

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Dec 18, 2025	n/a	yes	CHICAGO, IL	Current employment
NUVEEN FUND ADVISORS, LLC	Asset manager	Feb 6, 2009	Sep 1, 2011	no	CHICAGO, IL	Previous registration
NUVEEN INVESTMENTS ADVISERS, LLC	Former SEC adviser	Jan 28, 2003	Dec 31, 2003	no	IRVINE, CA	Previous registration
RITTENHOUSE ASSET MANAGEMENT, INC.	n/a	Feb 25, 2002	Jan 27, 2009	no	IRVINE, CA	Previous registration
NUVEEN FUND ADVISORS, LLC	Asset manager	Jun 15, 2000	Dec 31, 2003	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NUVEEN FUND ADVISORS, LLC	NUVEEN ASSET MANAGEMENT, LLC	Sep 1, 2011	Dec 18, 2025	5,222	Bulk transfer	Other
RITTENHOUSE ASSET MANAGEMENT, INC.	NUVEEN INVESTMENTS ADVISERS, LLC	Jan 27, 2009	Jan 28, 2003	-2,191	Firm change after gap	Other
NUVEEN FUND ADVISORS, LLC	RITTENHOUSE ASSET MANAGEMENT, INC.	Dec 31, 2003	Feb 25, 2002	-674	Firm change after gap	Other
NUVEEN INVESTMENTS ADVISERS, LLC	NUVEEN FUND ADVISORS, LLC	Dec 31, 2003	Feb 6, 2009	1,864	Firm change after gap	Other

Relationships

Registered with (4)

→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 18, 2025 to presentfactForm ADV
→ NUVEEN FUND ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 6, 2009 to Sep 1, 2011factForm ADV
→ RITTENHOUSE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 25, 2002 to Jan 27, 2009factForm ADV
→ NUVEEN INVESTMENTS ADVISERS, LLCRegistered adviserregistration: previous registration
Jan 28, 2003 to Dec 31, 2003factForm ADV

Dated events

No dated event names this entity yet.