DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

HAROLD THOMAS WHALEN

Advisor at NUVEEN ASSET MANAGEMENT, LLC

CHICAGO, IL

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:53f4a915-2dc5-8c4a-38fa-e135a5c7c30e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 29, 2008 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, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 6, 2004
First registration: Aug 29, 2008
Dual registered: yes, broker-dealer
Other names: HAL WHALEN
IAPD individual key: 4558083

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	Jul 23, 2025	n/a	yes	CHICAGO, IL	Current employment
THORNBURG INVESTMENT MANAGEMENT INC	Asset manager	Mar 27, 2020	May 7, 2025	no	SANTA FE, NM\|Millersville, MD	Previous registration
NATIXIS ADVISORS, LLC	Bd affiliated wealth	Apr 25, 2011	Apr 3, 2020	no	BOSTON, MA\|Conshohocken, PA	Previous registration
EATON VANCE MANAGEMENT	Asset manager	Aug 29, 2008	Apr 4, 2011	no	BOSTON, MA	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
THORNBURG INVESTMENT MANAGEMENT INC	NUVEEN ASSET MANAGEMENT, LLC	May 7, 2025	Jul 23, 2025	77	Firm change	Other
NATIXIS ADVISORS, LLC	THORNBURG INVESTMENT MANAGEMENT INC	Apr 3, 2020	Mar 27, 2020	-7	Firm change	Other
EATON VANCE MANAGEMENT	NATIXIS ADVISORS, LLC	Apr 4, 2011	Apr 25, 2011	21	Firm change	Other

Relationships

Registered with (4)

→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Jul 23, 2025 to presentfactForm ADV
→ THORNBURG INVESTMENT MANAGEMENT INCRegistered adviserregistration: previous registration
Mar 27, 2020 to May 7, 2025factForm ADV
→ NATIXIS ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 25, 2011 to Apr 3, 2020factForm ADV
→ EATON VANCE MANAGEMENTRegistered adviserregistration: previous registration
Aug 29, 2008 to Apr 4, 2011factForm ADV

Dated events

Occurred
May 7, 2025
Advisor changed firm
Harold Thomas Whalen left Thornburg Investment Management Inc for Nuveen Asset Management, Llc (registered 2025-07-23)
Form ADVobserved 4 days ago