DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Nicholas Charles Liberi

Nuveen Asset Management, LLCmixed wealthChicago, Ildual registrantIAPD 2988087

Feed of 09/14/2026

Also filed as Nicholas C Liberi

At current firm

4 y

since Aug 1, 2022

In the industry

27 y

since Jul 8, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Nuveen Asset Management, LLC mixed wealth current
since Aug 1, 2022 · Chicago, Il
Capital Client Group, Inc. no RAUM
Oct 14, 2014 to Mar 14, 2022 · Carmel, In
Equinox Fund Management, LLC former
Aug 7, 2013 to Sep 23, 2014 · Princeton, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 29, 2011 to Aug 9, 2011 · Pennington, Nj
Morgan Stanley wirehouse
Jan 7, 2010 to Jul 29, 2010 · Shrewsbury, Nj
UBS Financial Services Inc. wirehouse
Dec 11, 2006 to Sep 25, 2007 · Edison, Nj
Morgan Stanley Dw Inc. unclassified
Dec 5, 2003 to Jun 7, 2006 · Red Bank, Nj

Moves

a registration end followed by a registration begin elsewhere

Capital Client Group, Inc. to Nuveen Asset Management, LLC
left Mar 14, 2022, registered Aug 1, 2022 (140 days) · Other
Equinox Fund Management, LLC to Capital Client Group, Inc.
left Sep 23, 2014, registered Oct 14, 2014 (21 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Equinox Fund Management, LLC
left Aug 9, 2011, registered Aug 7, 2013 (729 days) · Other
Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jul 29, 2010, registered Mar 29, 2011 (243 days) · Wirehouse to wirehouse
UBS Financial Services Inc. to Morgan Stanley
left Sep 25, 2007, registered Jan 7, 2010 (835 days) · Wirehouse to wirehouse
Morgan Stanley Dw Inc. to UBS Financial Services Inc.
left Jun 7, 2006, registered Dec 11, 2006 (187 days) · Other

Signals

Nicholas Charles Liberi left Capital Client Group, Inc. for Nuveen Asset Management, Llc (registered 2022-08-01)
Mar 14, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wealth manager with institutional or fund businessderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address