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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

NUVEEN CAPITAL MARKETS LLC

CRD 301204

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:173eee9f-6122-d345-9161-e2ac6c487609

Data as of Sep 9, 2019 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2019 to Sep 9, 2019
4 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2019-09-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 25
Advisory employees: 21
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $0gross asset value as reported per fund; never fund size
SEC number: 801-117462
CRD: 301204
Filings on the tape: 4
First filed: Mar 21, 2019
Latest filed: Sep 9, 2019
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
SYMPHONY CLO XXII, LTD.	Securitized Asset Fund	$0	Sep 9, 2019	2	Jun 7, 2019	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GRENVILLE, THOMAS, EMIL	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	03/2019	Mar 21, 2019	Sep 9, 2019
GUTIERREZ, JORGE, CLAUDIO	VP, TREASURER	Na	yes	03/2019	Mar 21, 2019	Sep 9, 2019
MCCARTHY, KEVIN, JEROME	Secretary	Na	yes	03/2019	Mar 21, 2019	Sep 9, 2019
MINAYA, JOSE, MANUEL	EVP, PRESIDENT, GLOBAL INVESTMENTS	Na	yes	03/2019	Mar 21, 2019	Sep 9, 2019
NUVEEN FINANCE, LLC	Shareholder	E	yes	01/2017	Mar 21, 2019	Sep 9, 2019
NUVEEN HOLDINGS 1, INC.	Shareholder	E	yes	01/2017	Mar 21, 2019	Sep 9, 2019
NUVEEN HOLDINGS, INC.	Shareholder	E	yes	11/2007	Mar 21, 2019	Sep 9, 2019
NUVEEN INVESTMENTS, INC.	MANAGING MEMBER	E	yes	03/2019	Mar 21, 2019	Sep 9, 2019
NUVEEN, LLC	Member	E	yes	10/2014	Mar 21, 2019	Sep 9, 2019
PIERRE-MERRITT, MARJORIE, NMN	VP, CORPORATE SECRETARY	Na	yes	03/2019	Mar 21, 2019	Sep 9, 2019
STENERSEN, JAMES, STONE	SENIOR MANAGING DIRECTOR	Na	yes	03/2019	Mar 21, 2019	Sep 9, 2019
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	Member	E	yes	10/2014	Mar 21, 2019	Sep 9, 2019
TIAA BOARD OF OVERSEERS	Shareholder	E	yes	10/2014	Mar 21, 2019	Sep 9, 2019
Wachter, Austin, Penn	MANAGING DIRECTOR, CONTROLLER	Na	yes	03/2019	Mar 21, 2019	Sep 9, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 48

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
TEACHERS ADVISORS, LLC	n/a	Former SEC adviser	$436B	N	yes	n/a
TIAA-CREF INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$292B	N	yes	n/a
NUVEEN ASSET MANAGEMENT, LLC	n/a	Mixed wealth	$280B	N	yes	n/a
NUVEEN FUND ADVISORS, LLC	n/a	Asset manager	$186B	N	yes	n/a
NUVEEN ALTERNATIVES ADVISORS LLC	n/a	Institutional manager	$142B	N	yes	n/a
TIAA-CREF TUITION FINANCING, INC.	n/a	Institutional manager	$71B	N	yes	n/a
CHURCHILL ASSET MANAGEMENT LLC	n/a	Other adviser	$56B	N	yes	n/a
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC	n/a	Bd affiliated wealth	$38B	N	yes	n/a
WINSLOW CAPITAL MANAGEMENT LLC	n/a	Asset manager	$29B	N	yes	n/a
SYMPHONY ASSET MANAGEMENT LLC	n/a	Former SEC adviser	$16B	N	yes	n/a
NWQ INVESTMENT MANAGEMENT COMPANY, LLC	n/a	Former SEC adviser	$9.6B	N	yes	n/a
GRESHAM INVESTMENT MANAGEMENT LLC	n/a	Other adviser	$8.6B	N	yes	n/a
SANTA BARBARA ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$7.5B	N	yes	n/a
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$1.3B	N	yes	n/a
AGR PARTNERS LLC	n/a	Asset manager	$1.2B	N	yes	n/a
CASA PARTNERS VI, GP LLC	n/a	n/a	n/a	N	yes	n/a
CCAP GP, LLC	n/a	n/a	n/a	N	yes	n/a
ERES APAC II (GP) SARL	n/a	n/a	n/a	N	yes	n/a
GLOBAL INVESTORS GP II, L.L.C.	n/a	n/a	n/a	N	yes	n/a
GLOBAL INVESTORS GP IV, L.L.C.	n/a	n/a	n/a	N	yes	n/a
GLOBAL INVESTORS GP, L.L.C.	n/a	n/a	n/a	N	yes	n/a
GTFF GP LLC	n/a	n/a	n/a	N	yes	n/a
NUVEEN MANAGEMENT AIFM LIMITED	n/a	n/a	n/a	N	yes	n/a
NUVEEN REAL ESTATE DEBT PARTNERS II (GP) SARL	n/a	n/a	n/a	N	yes	n/a
NUVEEN REAL ESTATE MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
NUVEEN SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
NUVEEN UK LIMITED	n/a	n/a	n/a	N	yes	n/a
SIGA 1818 MANAGER, LLC	n/a	n/a	n/a	N	yes	n/a
T-C U.S. SUPER REGIONAL MALL FUND GP LLC	n/a	n/a	n/a	Y	yes	n/a
TCAM CHURCHILL FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
TCAM DOF GP, LLC	n/a	n/a	n/a	N	yes	n/a
TCGA II INVESTOR FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
TCGA INVESTOR FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	n/a	n/a	n/a	Y	yes	n/a
TEACHERS PERSONAL INVESTORS SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
TGAM AGRIBUSINESS FUND GP LLC	n/a	n/a	n/a	N	yes	n/a
TH REAL ESTATE U.S. STRATEGIC INDUSTRIAL FUND I GP, LLC	n/a	n/a	n/a	N	yes	n/a
TIAA ADVISORY, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
TIAA-CREF ASSET MANAGEMENT LLC	n/a	n/a	n/a	Y	yes	n/a
TIAA-CREF ASSET MANAGEMENT UK LIMITED	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	8	no
NEW YORK	NY	United States	6	no

Relationships

Affiliated with (16)

→ NUVEEN FUND ADVISORS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WINSLOW CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ TEACHERS ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ TIAA-CREF INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ TIAA-CREF TUITION FINANCING, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SYMPHONY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ NWQ INVESTMENT MANAGEMENT COMPANY, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GRESHAM INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ SANTA BARBARA ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ GREENWOOD RESOURCES CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NUVEEN ALTERNATIVES ADVISORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ CHURCHILL ASSET MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ AGR PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ TIAA ADVISORY, LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ SYMPHONY CLO XXII, LTD.Private fundSecuritized Asset Fund, IA
Jun 7, 2019 to presentfactForm ADV

Controls (13)

← GUTIERREZ, JORGE, CLAUDIOOwnerVP, TREASURER, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← GRENVILLE, THOMAS, EMILOwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← STENERSEN, JAMES, STONEOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← MINAYA, JOSE, MANUELOwnerEVP, PRESIDENT, GLOBAL INVESTMENTS, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← MCCARTHY, KEVIN, JEROMEOwnerSECRETARY, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← PIERRE-MERRITT, MARJORIE, NMNOwnerVP, CORPORATE SECRETARY, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← Wachter, Austin, PennOwnerMANAGING DIRECTOR, CONTROLLER, ownership code NA, individual
Mar 21, 2019 to presentfactForm ADV
← NUVEEN FINANCE, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 21, 2019 to presentfactForm ADV
← NUVEEN HOLDINGS 1, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 21, 2019 to presentfactForm ADV
← NUVEEN HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 21, 2019 to presentfactForm ADV
← NUVEEN INVESTMENTS, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 21, 2019 to presentfactForm ADV
← TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICAOwnerMEMBER, ownership code E, domestic entity
Mar 21, 2019 to presentfactForm ADV
← TIAA BOARD OF OVERSEERSOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 21, 2019 to presentfactForm ADV

Dated events

Occurred
Mar 21, 2019
First Form ADV filing
Nuveen Capital Markets Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:173eee9f-6122-d345-9161-e2ac6c487609
First observed: Mar 21, 2019
Last observed: Sep 9, 2019 85 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NUVEEN CAPITAL MARKETS LLC

CRD 301204

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:173eee9f-6122-d345-9161-e2ac6c487609

Data as of Sep 9, 2019 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SYMPHONY CLO XXII, LTD.

Securitized Asset Fund

Sep 9, 2019

Jun 7, 2019

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GRENVILLE, THOMAS, EMIL

MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER

yes

03/2019

Mar 21, 2019

Sep 9, 2019

GUTIERREZ, JORGE, CLAUDIO

VP, TREASURER

yes

03/2019

Mar 21, 2019

Sep 9, 2019

MCCARTHY, KEVIN, JEROME

Secretary

yes

03/2019

Mar 21, 2019

Sep 9, 2019

MINAYA, JOSE, MANUEL

EVP, PRESIDENT, GLOBAL INVESTMENTS

yes

03/2019

Mar 21, 2019

Sep 9, 2019

NUVEEN FINANCE, LLC

Shareholder

yes

01/2017

Mar 21, 2019

Sep 9, 2019

NUVEEN HOLDINGS 1, INC.

Shareholder

yes

01/2017

Mar 21, 2019

Sep 9, 2019

NUVEEN HOLDINGS, INC.

Shareholder

yes

11/2007

Mar 21, 2019

Sep 9, 2019

NUVEEN INVESTMENTS, INC.

MANAGING MEMBER

yes

03/2019

Mar 21, 2019

Sep 9, 2019

NUVEEN, LLC

Member

yes

10/2014

Mar 21, 2019

Sep 9, 2019

PIERRE-MERRITT, MARJORIE, NMN

VP, CORPORATE SECRETARY

yes

03/2019

Mar 21, 2019

Sep 9, 2019

STENERSEN, JAMES, STONE

SENIOR MANAGING DIRECTOR

yes

03/2019

Mar 21, 2019

Sep 9, 2019

TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA

Member

yes

10/2014

Mar 21, 2019

Sep 9, 2019

TIAA BOARD OF OVERSEERS

Shareholder

yes

10/2014

Mar 21, 2019

Sep 9, 2019

Wachter, Austin, Penn

MANAGING DIRECTOR, CONTROLLER

yes

03/2019

Mar 21, 2019

Sep 9, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TEACHERS ADVISORS, LLC

n/a

Former SEC adviser

$436B

yes

n/a

TIAA-CREF INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$292B

yes

n/a

NUVEEN ASSET MANAGEMENT, LLC

n/a

Mixed wealth

$280B

yes

n/a

NUVEEN FUND ADVISORS, LLC

n/a

Asset manager

$186B

yes

n/a

NUVEEN ALTERNATIVES ADVISORS LLC

n/a

Institutional manager

$142B

yes

n/a

TIAA-CREF TUITION FINANCING, INC.

n/a

Institutional manager

$71B

yes

n/a

CHURCHILL ASSET MANAGEMENT LLC

n/a

Other adviser

$56B

yes

n/a

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

n/a

Bd affiliated wealth

$38B

yes

n/a

WINSLOW CAPITAL MANAGEMENT LLC

n/a

Asset manager

$29B

yes

n/a

SYMPHONY ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$16B

yes

n/a

NWQ INVESTMENT MANAGEMENT COMPANY, LLC

n/a

Former SEC adviser

$9.6B

yes

n/a

GRESHAM INVESTMENT MANAGEMENT LLC

n/a

Other adviser

$8.6B

yes

n/a

SANTA BARBARA ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$7.5B

yes

n/a

GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$1.3B

yes

n/a

AGR PARTNERS LLC

n/a

Asset manager

$1.2B

yes

n/a

CASA PARTNERS VI, GP LLC

n/a

yes

n/a

CCAP GP, LLC

n/a

yes

n/a

ERES APAC II (GP) SARL

n/a

yes

n/a

GLOBAL INVESTORS GP II, L.L.C.

n/a

yes

n/a

GLOBAL INVESTORS GP IV, L.L.C.

n/a

yes

n/a

GLOBAL INVESTORS GP, L.L.C.

n/a

yes

n/a

GTFF GP LLC

n/a

yes

n/a

NUVEEN MANAGEMENT AIFM LIMITED

n/a

yes

n/a

NUVEEN REAL ESTATE DEBT PARTNERS II (GP) SARL

n/a

yes

n/a

NUVEEN REAL ESTATE MANAGEMENT LIMITED

n/a

yes

n/a

NUVEEN SECURITIES, LLC

n/a

yes

n/a

NUVEEN UK LIMITED

n/a

yes

n/a

SIGA 1818 MANAGER, LLC

n/a

yes

n/a

T-C U.S. SUPER REGIONAL MALL FUND GP LLC

n/a

yes

n/a

TCAM CHURCHILL FUND GP LLC

n/a

yes

n/a

TCAM DOF GP, LLC

n/a

yes

n/a

TCGA II INVESTOR FUND GP LLC

n/a

yes

n/a

TCGA INVESTOR FUND GP LLC

n/a

yes

n/a

TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA

n/a

yes

n/a

TEACHERS PERSONAL INVESTORS SERVICES, INC.

n/a

yes

n/a

TGAM AGRIBUSINESS FUND GP LLC

n/a

yes

n/a

TH REAL ESTATE U.S. STRATEGIC INDUSTRIAL FUND I GP, LLC

n/a

yes

n/a

TIAA ADVISORY, LLC

n/a

Former SEC adviser

n/a

yes

n/a

TIAA-CREF ASSET MANAGEMENT LLC

n/a

yes

n/a

TIAA-CREF ASSET MANAGEMENT UK LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Charlotte

United States

NEW YORK

United States