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.
SEC-registered adviser
Nuveen Fund Advisors, LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2012 · 42 filings
SEC status approved since Nov 2, 1978
RAUM
$186B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
137
25 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$186B as of Mar 30, 2026
Mar 27, 2012$101B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 27, 20120 then
Employees (5.A)137 as of Mar 30, 2026
Mar 27, 201340 then
Private funds: no history
RAUM +15% over the last fiscal year+8.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $93BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $793MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 68.5derivedItem 5.A over advisors
- Advisors per office
- 0.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$147B79%
- Pooled investment vehicles$39B21%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 235reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=10.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Raymond Allen Olson to Rittenhouse Asset Management, Inc.Sep 1, 2011 · Other
- Richard William Baur to Rittenhouse Asset Management, Inc.Sep 1, 2011 · Other
- Brian Keith Brummell to Rittenhouse Asset Management, Inc.Sep 1, 2011 · Other
- Francesco Cristiano to Rittenhouse Asset Management, Inc.Sep 1, 2011 · Other
- Megan L. Mead to Envestnet PmcJul 12, 2011 · Other
- Tesa Brooke Williamson to Doyenne Wealth AdvisorsMar 31, 2011 · Other
- John W Gambla to Nuveen Hydepark Group, LLCMar 24, 2011 · Other
- Wendy Semkus to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 12, 2011 · Other
- Johnathan Nein Wilhelm to Pt Asset Management, LLCDec 20, 2010 · Other
- Marion Rogers Metzbower to Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 16, 2010 · Other
- John Patrick Brogan to Blackrock Investment Management, LLCNov 15, 2010 · Other
- Matthew William Davoust Whall to Neuberger Berman Bd LLCNov 2, 2010 · Other
- Brian David Moore to Morgan StanleyJan 19, 2010 · Other
- Jeanne Ae Enright to William Blair & Company L.L.C.Oct 29, 2009 · Other
- Marisa Beth Goldstein to First Allied Securities, Inc.Oct 29, 2009 · Other
Joined, latest
- Paul Andrew Bartony from Putnam Investment Management, LLCJul 26, 2011 · Other
- Mark Kierna from Morgan StanleyJan 20, 2011 · Other
- Adam James Myers from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 5, 2011 · Other
- Michael Bryan Mccann from UBS Financial Services Inc.Jan 4, 2011 · Other
- Ryan De Silva from Citigroup Global Markets Inc.Oct 21, 2010 · Other
- Jeffrey Dennis Carlin from Charles Schwab & Co., Inc.Aug 6, 2010 · Other
- Paul A Palichuk from Raymond James & Associates, Inc.Jul 22, 2010 · Other
- Christopher Edward Fitzgerald from Strong Capital Management IncJun 21, 2010 · Other
- Mark Edward Connolly from Morgan StanleyMay 21, 2010 · Other
- John Philip Kelly from Brandes Investment Partners, LPApr 29, 2010 · Other
- Robert Patrick Olson from UBS Financial Services Inc.Apr 26, 2010 · Other
- Daniel Robert O'Kray from Credit Suisse Securities (USA) LLCApr 9, 2010 · Other
- Scott Alan Stanley from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 4, 2010 · Other
- Patrick Thomas Levendusky from Morgan Stanley & Co. LLCMar 4, 2010 · Other
- John Harmon Scully from Allspring Funds Management, LLCFeb 24, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael John Mccann · Managing Director, General Counsel & Assistant Secretarycontrolsince 03/2023 · owns less than 5%
- Peter Erik Mogavero · Chief Compliance Officercontrolsince 08/2017 · owns less than 5%
- Andrew Michael Perry · Executive Vice Presidentcontrolsince 02/2017 · owns less than 5%
- Beth Mary Ramsay · Chief Risk Officer, Nuveencontrolsince 09/2023 · owns less than 5%
- S. Oluseun Salami · Executive Vice President And Chief Financial Officercontrolsince 11/2020 · owns less than 5%
- Dawn Cinda Whitten · Head Of Global Investment Operationscontrolsince 09/2022 · owns less than 5%
Entity owners
- Nuveen Investments, Inc. · Managing Memberdirect · owns 75% or more
- Nuveen Finance, LLC · Shareholderindirect · owns 75% or more of Nuveen Holdings 1, Inc.
- Nuveen Holdings 1, Inc. · Shareholderindirect · owns 75% or more of Nuveen Holdings, Inc.
- Nuveen Holdings, Inc. · Shareholderindirect · owns 75% or more of Nuveen Investments, Inc.
- Nuveen, LLC · Memberindirect · owns 75% or more of Nuveen Finance, LLC
- Teachers Insurance And Annuity Association Of America · Memberindirect · owns 75% or more of Nuveen, LLC
- Tiaa Board Of Governers · Shareholderindirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
Related persons
Schedule D 7.A
- Agr Partners LLCinvestment adviserpooled vehicle sponsornRAUM $1.2B
- Churchill Asset Management LLCinvestment adviserpooled vehicle sponsornRAUM $56B
- Churchill Dlc Advisor LLCinvestment advisernRAUM $2.1B
- Clean Energy Partners Llppooled vehicle sponsorn
- Glennmont Asset Management Limitedpooled vehicle sponsorn
- Glennmont Partners I Limitedpooled vehicle sponsorn
- Gresham Investment Management LLCinvestment adviserbankpooled vehicle sponsornRAUM $8.6B
- Nuveen Alternatives Advisors LLCinvestment adviserpooled vehicle sponsornRAUM $142B
- Nuveen Asset Management Europe Sarlinvestment advisern
- Nuveen Asset Management, LLCinvestment adviserbankpooled vehicle sponsorLP sponsoryRAUM $280B
- Nuveen Hong Kong Limitedinvestment advisern
- Nuveen Investment Management International Limitedinvestment advisern
- Nuveen Management Aifm Limitedinvestment advisern
- Nuveen Securities, LLCbroker-dealern
- Nuveen Singapore Private Ltdinvestment advisern
- Teachers Advisors, LLCinvestment adviserpooled vehicle sponsornRAUM $436B
- Tiaa-Cref Investment Management LLCinvestment advisernRAUM $292B
- Westchester Group Real Estate, Inc.investment companyn
- Winslow Capital Management LLCinvestment adviserpooled vehicle sponsornRAUM $29B
Advisers that list Nuveen Fund Advisors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY7 employees
- Charlotte, NC6 employees
- Minneapolis, MN1 employees
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 248 to 235Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 26 to 25Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 69 to 93Mar 28, 2025 to Mar 30, 2026
- Employees · 138 to 137Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $163B to $186BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $22B to $39BMar 28, 2025 to Mar 30, 2026
- RAUM · $163B to $186BMar 28, 2025 to Mar 30, 2026
- Accounts · 182 to 248Feb 14, 2025 to Mar 28, 2025
- Advisory employees · 28 to 26Feb 14, 2025 to Mar 28, 2025
- BD registered reps · 13 to 10Feb 14, 2025 to Mar 28, 2025
- Pooled vehicle clients · 50 to 69Feb 14, 2025 to Mar 28, 2025
- Employees · 146 to 138Feb 14, 2025 to Mar 28, 2025
- Financial planning clients · unset to Feb 14, 2025 to Mar 28, 2025
- State-registered IARs · 0 to 2Feb 14, 2025 to Mar 28, 2025
- Other offices · 4 to 5Feb 14, 2025 to Mar 28, 2025
- Discretionary RAUM · $150B to $163BFeb 14, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $13B to $22BFeb 14, 2025 to Mar 28, 2025
- RAUM · $150B to $163BFeb 14, 2025 to Mar 28, 2025
- Advisory employees · 25 to 28Sep 19, 2023 to Mar 28, 2024
- BD registered reps · 19 to 13Sep 19, 2023 to Mar 28, 2024
- Pooled vehicle clients · 39 to 50Sep 19, 2023 to Mar 28, 2024
- Other offices · 3 to 4Sep 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $148B to $150BSep 19, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $5.6B to $13BSep 19, 2023 to Mar 28, 2024
- RAUM · $148B to $150BSep 19, 2023 to Mar 28, 2024
- Accounts · 176 to 182Mar 3, 2023 to Mar 29, 2023
- Advisory employees · 27 to 25Mar 3, 2023 to Mar 29, 2023
- BD registered reps · 20 to 19Mar 3, 2023 to Mar 29, 2023
- Employees · 125 to 146Mar 3, 2023 to Mar 29, 2023
- Other offices · 2 to 3Mar 3, 2023 to Mar 29, 2023
- Discretionary RAUM · $194B to $148BMar 3, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $5.8B to $5.6BMar 3, 2023 to Mar 29, 2023
- RAUM · $194B to $148BMar 3, 2023 to Mar 29, 2023
- Accounts · 187 to 176Mar 30, 2021 to Mar 29, 2022
- Advisory employees · 25 to 27Mar 30, 2021 to Mar 29, 2022
- BD registered reps · 21 to 20Mar 30, 2021 to Mar 29, 2022
- Pooled vehicle clients · 37 to 39Mar 30, 2021 to Mar 29, 2022
- Employees · 113 to 125Mar 30, 2021 to Mar 29, 2022
- State-registered IARs · 5 to 0Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $157B to $194BMar 30, 2021 to Mar 29, 2022
Signals
34 dated events
- Stone James Stenersen (Chief Risk Officer, Nuveen) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2023-03-29, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- Beth Mary Ramsay (Chief Risk Officer, Nuveen) appeared on Schedule A of Nuveen Fund Advisors, LlcSep 19, 2023 · Control person joined · fact
- Michael John Mccann (Managing Director, General Counsel & Assistant Secretary) appeared on Schedule A of Nuveen Fund Advisors, LlcMar 29, 2023 · Control person joined · fact
- Dubey Deann Morgan (President) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2022-11-21, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Dawn Cinda Whitten (Head Of Global Investment Operations) appeared on Schedule A of Nuveen Fund Advisors, LlcNov 21, 2022 · Control person joined · fact
- Geoffry Ronald Stutes (Head Of Global Investment Operations (Interim)) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2022-07-21, absent 2022-11-21)Nov 21, 2022 · Control person left · inference
- Beth Mary Ramsay (Chief Risk Officer, Nuveen) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2022-07-15, absent 2022-07-21)Jul 21, 2022 · Control person left · inference
- Stone James Stenersen (Chief Risk Officer, Nuveen) appeared on Schedule A of Nuveen Fund Advisors, LlcJul 21, 2022 · Control person joined · fact
- Byers Sheryl Craun (Head Of Global Investment Operations) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2022-03-29, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- Michel Jacques Longerstaey (Senior Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2022-03-29, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- Geoffry Ronald Stutes (Head Of Global Investment Operations (Interim)) appeared on Schedule A of Nuveen Fund Advisors, LlcJul 6, 2022 · Control person joined · fact
- Beth Mary Ramsay (Chief Risk Officer, Nuveen) appeared on Schedule A of Nuveen Fund Advisors, LlcJul 6, 2022 · Control person joined · fact
- J Kevin Mccarthy (Senior Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2021-03-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- M Christopher Rohrbacher (General Counsel) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2021-03-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Mark Jordan Farris (Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2021-03-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Eugene Christopher Stickrod (Senior Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2021-03-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Joseph David Lamb (Senior Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2021-03-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Ross Gifford Zimmerman (Co-General Counsel) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2020-03-30, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- Henry Cedric Antosiewicz (Senior Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2020-03-30, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- Andrew Greg Bottjer (Senior Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2020-03-30, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- Stone James Stenersen (Senior Managing Director) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2020-03-30, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- Mark Jordan Farris (Managing Director) appeared on Schedule A of Nuveen Fund Advisors, LlcNov 13, 2020 · Control person joined · fact
- Eugene Christopher Stickrod (Senior Managing Director) appeared on Schedule A of Nuveen Fund Advisors, LlcNov 13, 2020 · Control person joined · fact
- Joseph David Lamb (Managing Director) appeared on Schedule A of Nuveen Fund Advisors, LlcNov 13, 2020 · Control person joined · fact
- Dubey Deann Morgan (President) appeared on Schedule A of Nuveen Fund Advisors, LlcNov 13, 2020 · Control person joined · fact
- Michel Jacques Longerstaey (Senior Managing Director) appeared on Schedule A of Nuveen Fund Advisors, LlcNov 13, 2020 · Control person joined · fact
- Oluseun Salami (Executive Vice President And Chief Financial Officer) appeared on Schedule A of Nuveen Fund Advisors, LlcNov 13, 2020 · Control person joined · fact
- L Margo Cook (President) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2019-10-30, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Hylton Holly Miller (Head Of Global Investment Operations) no longer on Schedule A of Nuveen Fund Advisors, Llc (listed 2019-10-30, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Byers Sheryl Craun (Head Of Global Investment Operations) appeared on Schedule A of Nuveen Fund Advisors, LlcMar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/NUVEENreportedpublic record, Form ADV, Sep 17, 2026
- Website
- NUVEEN.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-917-7700reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026