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.
Former SEC-registered adviser
Nuveen Investments Advisers, LLC
Latest filing Mar 27, 2018
First filing on the tape Mar 27, 2012 · 15 filings
RAUM
$291M
reported, Item 5.F
Discretionary
7.4%
of RAUM
Private clients
84%
$243M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$291M as of Mar 27, 2018
Mar 27, 2012$486M then
HNW client RAUM: $112M
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 27, 20120 then
Employees (5.A)24 as of Mar 27, 2018
Mar 27, 201317 then
Private funds: no history
RAUM +6.9% over the last fiscal year-2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $931,623derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 7.4%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$131M45%
- High-net-worth individuals$112M38%
- Investment companies$21.6M7.4%
- Corporations and businesses$21.1M7.3%
- Pension and profit-sharing plans$4.9M1.7%
- Individual clients
- 238reported
- HNW clients
- 51reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 312reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $251M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
- William M Fitzgerald to Fitzgerald Asset Management, LLCApr 2, 2008 · Other
- Charles William Sauter to Nuveen Fund Advisors, LLCDec 31, 2003 · Other
- Brian Keith Brummell to Nuveen Asset Management, LLCDec 31, 2003 · Other
Joined, latest
- William M Fitzgerald from Nuveen Fund Advisors, LLCApr 24, 2006 · Other
- Brian Keith Brummell from Rittenhouse Asset Management, Inc.Feb 21, 2003 · Other
- Charles William Sauter from Rittenhouse Asset Management, Inc.Jan 28, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jona Stuart Cohen · Managing Director, General Counselcontrolsince 11/2002 · owns less than 5%
- P Charles Graves · Senior Managing Directorcontrolsince 08/2016 · owns less than 5%
- S Diane Meggs · Chief Compliance Officercontrolsince 04/2013 · owns less than 5%
- William Mark Slevin · Head Of Retail Sma Operationscontrolsince 03/2011 · owns less than 5%
- Penn Austin Wachter · Controllersince 03/2017 · 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 Overseers · 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
- Greenwood Resources Capital Management LLCinvestment advisernRAUM $1.3B
- Gresham Investment Management LLCinvestment adviserbankpooled vehicle sponsornRAUM $8.6B
- Henderson Property Uk Aifm Limitedinvestment advisern
- Nuveen Alternatives Advisors LLCinvestment adviserpooled vehicle sponsornRAUM $142B
- Nuveen Asset Management, LLCinvestment adviserbankpooled vehicle sponsorLP sponsornRAUM $280B
- Nuveen Fund Advisors, LLCinvestment adviserbanknRAUM $186B
- Nuveen Real Estate Management Limitedinvestment advisern
- Nuveen Securities, LLCbroker-dealern
- Nuveen Uk Limitedinvestment advisern
- Nwq Investment Management Company, LLCinvestment advisernRAUM $9.6B
- Santa Barbara Asset Management, LLCinvestment advisernRAUM $7.5B
- Symphony Asset Management LLCinvestment adviserpooled vehicle sponsornRAUM $16B
- Teachers Advisors, LLCinvestment adviserpooled vehicle sponsornRAUM $436B
- Teachers Personal Investors Services, Inc.broker-dealern
- Tiaa-Cref Asset Management Uk Limitedinvestment advisern
- Tiaa-Cref Investment Management LLCinvestment advisernRAUM $292B
- Westchester Group Investment Management, Inc.investment companyn
- Winslow Capital Management LLCinvestment adviserpooled vehicle sponsornRAUM $29B
Advisers that list Nuveen Investments Advisers, LLC as a related person
- 138476 n
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 340 to 312Dec 7, 2017 to Mar 27, 2018
- BD registered reps · 13 to 10Dec 7, 2017 to Mar 27, 2018
- HNW clients · 46 to 51Dec 7, 2017 to Mar 27, 2018
- Individual clients · 269 to 238Dec 7, 2017 to Mar 27, 2018
- Pension plan clients · 8 to 6Dec 7, 2017 to Mar 27, 2018
- Employees · 26 to 24Dec 7, 2017 to Mar 27, 2018
- Discretionary RAUM · $19.8M to $21.6MDec 7, 2017 to Mar 27, 2018
- HNW RAUM · $93.4M to $112MDec 7, 2017 to Mar 27, 2018
- Individual RAUM · $134M to $131MDec 7, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $252M to $269MDec 7, 2017 to Mar 27, 2018
- Pension RAUM · $6.0M to $4.9MDec 7, 2017 to Mar 27, 2018
- RAUM · $272M to $291MDec 7, 2017 to Mar 27, 2018
- Wrap assets (manager) · $236M to $251MDec 7, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Aug 25, 2017 to Dec 7, 2017
- Corporate clients · unset to 15.0Aug 25, 2017 to Dec 7, 2017
- HNW clients · unset to 46.0Aug 25, 2017 to Dec 7, 2017
- Individual clients · unset to 269.0Aug 25, 2017 to Dec 7, 2017
- Pension plan clients · unset to 8.0Aug 25, 2017 to Dec 7, 2017
- Pooled vehicle clients · unset to 0.0Aug 25, 2017 to Dec 7, 2017
- Other offices · unset to 1.0Aug 25, 2017 to Dec 7, 2017
- HNW RAUM · unset to 93385928.0Aug 25, 2017 to Dec 7, 2017
- Individual RAUM · unset to 134311246.0Aug 25, 2017 to Dec 7, 2017
- Pension RAUM · unset to 5981140.0Aug 25, 2017 to Dec 7, 2017
- Pooled vehicle RAUM · unset to 0.0Aug 25, 2017 to Dec 7, 2017
- Wrap assets (manager) · unset to 235703889.0Aug 25, 2017 to Dec 7, 2017
- Wrap assets (sponsor) · unset to 0.0Aug 25, 2017 to Dec 7, 2017
- Accounts · 402 to 340Aug 12, 2016 to Mar 23, 2017
- Advisory employees · 0 to 3Aug 12, 2016 to Mar 23, 2017
- Advisory activities · 1 to 5Aug 12, 2016 to Mar 23, 2017
- BD registered reps · 7 to 13Aug 12, 2016 to Mar 23, 2017
- Employees · 17 to 26Aug 12, 2016 to Mar 23, 2017
- Discretionary RAUM · $0 to $19.8MAug 12, 2016 to Mar 23, 2017
- Non-discretionary RAUM · $270M to $252MAug 12, 2016 to Mar 23, 2017
- RAUM · $270M to $272MAug 12, 2016 to Mar 23, 2017
- Business name · NUVEEN INVESTMENTS ADVISERS INC. to NUVEEN INVESTMENTS ADVISERS, LLCMar 30, 2016 to Aug 12, 2016
- Legal name · NUVEEN INVESTMENTS ADVISERS INC. to NUVEEN INVESTMENTS ADVISERS, LLCMar 30, 2016 to Aug 12, 2016
- Succession · true to falseMar 30, 2016 to Aug 12, 2016
- Accounts · 450 to 402Mar 18, 2015 to Mar 30, 2016
- BD registered reps · 8 to 7Mar 18, 2015 to Mar 30, 2016
- Organization form · Corporation to Limited Liability CompanyMar 18, 2015 to Mar 30, 2016
Signals
1 dated events
- Nuveen Investments Advisers Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 30, 2016 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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