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 Asset Management, LLC
Latest filing Mar 24, 2026
First filing on the tape Nov 22, 2011 · 49 filings
SEC status approved since Nov 24, 2010
RAUM
$280B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$60B individuals and HNW
Advisors
255
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
381
296 advisory (5.B.1)
Offices
28
beyond the principal office
Private funds
28
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$280B as of Mar 24, 2026
Mar 27, 2012$104B then
HNW client RAUM$40B as of Mar 24, 2026
Mar 21, 2018$15B then
State-registered IARs (5.B.3)30 as of Mar 24, 2026
Mar 5, 201335 then
Employees (5.A)381 as of Mar 24, 2026
Mar 5, 2013160 then
Private funds28 as of Mar 24, 2026
Mar 27, 20121 then
RAUM +7.9% over the last fiscal year+4.1% a year over threeIARs 30 to 30offices 19 to 28
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $1.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 245derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $4.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 8.8derived29 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $3.4B, 14 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$140B50%
- Pooled investment vehicles$44B16%
- High-net-worth individuals$40B14%
- Individuals$20B7.0%
- Insurance companies$16B5.7%
- Corporations and businesses$10B3.7%
- Pension and profit-sharing plans$7.2B2.6%
- State and municipal entities$1.9B0.7%
- Charitable organizations$500M0.2%
- Banks and thrifts$1.1M0.0%
- Individual clients
- 48,733reported
- HNW clients
- 13,864reported
- Pension plan clients
- 106reported
- Charitable clients
- 119reported
- Accounts
- 65,258reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $66B managedreported
- Custody of client assets
- $3.4B for 14 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.21 fund_share=0.66 institutional_share=0.09 related_bd=true related_bank=true bd_reps=46.0derived
Advisors registered through the firm
255 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Francesco Cristiano | Chicago, Il | Nov 24, 2010 | 33 y | 2 |
| Andrew Philip Haas | Chicago, Il | Apr 4, 2011 | 20 y | 1 |
| Derek S Wolff | Chicago, Il | May 20, 2011 | 22 y | 0 |
| Keith Thomas Albertina | Chicago, Il | Sep 1, 2011 | 28 y | 1 |
| Richard Andrew Charchek | Chicago, Il | Sep 1, 2011 | 27 y | 1 |
| Mark William Slevin | Chicago, Il | Sep 1, 2011 | 30 y | 2 |
| Lauralee Settles | Chicago, Il | Sep 1, 2011 | 21 y | 2 |
| Thomas Joseph Assicurato | Chicago, Il | Sep 1, 2011 | 33 y | 2 |
| Paul A Palichuk | Chicago, Il | Sep 1, 2011 | 26 y | 4 |
| Samantha Pellin Ospelt | Chicago, Il | Sep 1, 2011 | 30 y | 1 |
| Nicholas B Albu | Chicago, Il | Sep 1, 2011 | 23 y | 2 |
| Mark Edward Connolly | Chicago, Il | Sep 1, 2011 | 18 y | 3 |
| Suzanne Renee Downing | Chicago, Il | Sep 1, 2011 | 36 y | 2 |
| Christopher Paul Mayer | Chicago, Il | Sep 1, 2011 | 19 y | 1 |
| Jeffrey Dennis CarlinChartered Financial Analyst | Chicago, Il | Sep 1, 2011 | 27 y | 2 |
| Eric B Cibula | Chicago, Il | Sep 1, 2011 | 27 y | 2 |
| Meghann Elizabeth Peterson | Chicago, Il | Sep 1, 2011 | 21 y | 1 |
| Raymond Allen Olson | Chicago, Il | Sep 1, 2011 | 34 y | 2 |
| Andrew Joseph Luberto | Chicago, Il | Sep 1, 2011 | 19 y | 1 |
| James Brendan Gorrell | Chicago, Il | Sep 1, 2011 | 16 y | 1 |
| Joy Marie Crenshaw | Chicago, Il | Sep 1, 2011 | 29 y | 2 |
| Paul Andrew Bartony | Chicago, Il | Sep 1, 2011 | 26 y | 3 |
| Jannah F Hamilton | Chicago, Il | Sep 1, 2011 | 20 y | 2 |
| Richard William Baur | Chicago, Il | Sep 1, 2011 | 30 y | 2 |
| Victoria Vyacheslavovna Fisher | Chicago, Il | Sep 1, 2011 | 25 y | 1 |
| Randy Peter Kutchek | Chicago, Il | Sep 1, 2011 | 27 y | 1 |
| Adam James MyersCertified Financial Planner | Chicago, Il | Sep 1, 2011 | 20 y | 2 |
| Darniel London | Chicago, Il | Sep 1, 2011 | 27 y | 1 |
| Michael R Ianni | Chicago, Il | Sep 1, 2011 | 21 y | 1 |
| Christopher Gerard Barron | Chicago, Il | Sep 1, 2011 | 23 y | 1 |
| John Harmon Scully | Chicago, Il | Sep 1, 2011 | 30 y | 3 |
| Andrew Champ | Chicago, Il | Sep 1, 2011 | 30 y | 1 |
| Julie Marie Mcguire | Chicago, Il | Nov 30, 2011 | 15 y | 0 |
| Stuart Blumenthal | Chicago, Il | Mar 15, 2012 | 19 y | 2 |
| Mark Aburano-Meister | Chicago, Il | Jul 6, 2012 | 17 y | 0 |
| Brittany Siegel | Chicago, Il | Jan 29, 2013 | 14 y | 1 |
| Alan Michael PapierChartered Financial Analyst | Chicago, Il | Mar 12, 2013 | 22 y | 1 |
| Danica Catherine Ness Chilson | Chicago, Il | May 15, 2013 | 25 y | 0 |
| Matthew Obrien White | Chicago, Il | Jun 7, 2013 | 14 y | 0 |
| Ryan Owen Illingworth | Chicago, Il | Sep 5, 2013 | 22 y | 1 |
Advisor movement
6 left, 21 joined in 12 months
net +15 in 12 months1 left in 90 days5 joined in 90 daysdeparture rate 2.4% of current headcount40 left over 36 months
Left, latest
- Edwin Belogorlov to Advice And Planning ServicesSep 1, 2026 · RIA to affiliated broker-dealer or bank
- Benjamin James Colter to Neuberger Berman Bd LLCApr 1, 2026 · Other
- Corey Johnson to Wells Fargo AdvisorsDec 17, 2025 · RIA to wirehouse
- Graham Mcintosh Foltz to LidoDec 15, 2025 · RIA to RIA
- Shawn Anthony Polk to Wells Fargo AdvisorsNov 28, 2025 · RIA to wirehouse
- Edward Rhee to Charles Schwab & Co., Inc.Nov 20, 2025 · RIA to affiliated broker-dealer or bank
- John N Androla to T. Rowe Price Associates, Inc.Sep 8, 2025 · Other
- Christopher Chinn to Charles Schwab & Co., Inc.Aug 25, 2025 · RIA to affiliated broker-dealer or bank
- Trigg Lewis Williamson to Advisor.ComMay 31, 2025 · RIA to RIA
- Christopher Daniels to Advanced Planning Advisors Group Inc.May 20, 2025 · RIA to RIA
- Aaron Wayne Bouronich to Creative PlanningApr 11, 2025 · RIA to RIA
- Brooke N Vannoy to Alliancebernstein L.P.Mar 19, 2025 · Other
- Miles Finnegan to Cohen & Steers Capital Management Inc.Mar 7, 2025 · Other
- Keith Allen Jones to Invesco Advisers, Inc.Mar 6, 2025 · Other
- Alexander Kingsley Smith to Robert W. Baird & Co. IncorporatedFeb 25, 2025 · RIA to RIA
Joined, latest
- Brandon Keith Lopez from Edward JonesAug 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- Justine Chin Walker from LPL Financial LLCAug 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brian Steven Werkmeister from Northern Trust Investments, IncorporatedAug 6, 2026 · Other
- Abigail Joyce Buffington from Columbia Management Investment Advisers, LLCJun 24, 2026 · Other
- William Stephen Stano from ConvexitasJun 24, 2026 · Other
- Erkko Mikonpoika Etula from Brooklyn Investment Group, LLCMay 27, 2026 · Other
- Ellen Frances Mccloskey from Northern Trust Investments, IncorporatedMay 16, 2026 · Other
- Graham Reese Silvey from Advice And Planning ServicesMay 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Markus Lasse Aakko from Brooklyn Investment Group, LLCMay 8, 2026 · Other
- Jack Michael Schepke from Perennial Financial ServicesApr 15, 2026 · RIA to RIA
- Jacob Michael Bugica from Principal Advised ServicesFeb 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- Robert Oliver Kron from Blackrock Investment Management, LLCJan 14, 2026 · Other
- Christopher Lee Perry from Santa Barbara Asset Management, LLCDec 18, 2025 · Other
- James Roy Woodfin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 18, 2025 · Wirehouse to independent RIA
- Karen Elizabeth Lutomski from Lazard Asset Management LLCDec 18, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Advice And Planning ServicesJul 27, 2023 · Chicago, Il
- 2 left for Advice And Planning ServicesJul 3, 2023 · Chicago, Il
- 2 left for Calamos Advisors LLCApr 11, 2023 · Chicago, Il
- 2 left for New York Life Investment Management LLCAug 10, 2020 · Chicago, Il
- 2 joined from Santa Barbara Asset Management, LLCDec 31, 2021 · Chicago, Il
- 2 joined from Clearbridge Investments, LLCOct 7, 2020 · New York, Ny
- 3 joined from Tradewinds Global Investors, LLCNov 30, 2016 · Los Angeles, Ca · Firm absorbed
Private funds
38 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Nuveen Senior Loan Fund, LP | Other Private Fund | $672M | 19 | Mar 30, 2012 |
| Nuveen Corporate Arbitrage And Relative Value Fund, L.P. | Hedge Fund | $584M | 5 | Aug 18, 2015 |
| Nuveen High Yield Municipal Opportunities Master Fund LP | Hedge Fund | $444M | 752 | Mar 15, 2024 |
| Symphony Clo Xviii, Ltd.no longer reported | Securitized Asset Fund | $428M | 2 | Dec 14, 2016 |
| California Street Clo Ix Limited Partnership | Securitized Asset Fund | $420M | 1 | Mar 28, 2013 |
| Symphony Clo Xxvi, Ltd. | Securitized Asset Fund | $395M | 5 | Mar 24, 2022 |
| Symphony Clo Xxii, Ltd. | Securitized Asset Fund | $335M | 2 | Mar 31, 2020 |
| Nuveen High Yield Municipal Opportunities Fund LP | Hedge Fund | $311M | 752 | Mar 25, 2020 |
| Symphony Clo Xxi, Ltd. | Securitized Asset Fund | $302M | 2 | Jun 26, 2019 |
| Symphony Clo Xv, Ltd. | Securitized Asset Fund | $300M | 3 | Feb 13, 2015 |
| Symphony Clo Xx, Ltd. | Securitized Asset Fund | $261M | 3 | Mar 29, 2019 |
| Symphony Clo Xix, Ltd. | Securitized Asset Fund | $251M | 6 | Apr 26, 2018 |
| Nuveen Clo Issuance Fund II, LP | Hedge Fund | $240M | 14 | Mar 15, 2024 |
| Symphony Clo Xvi, Ltd | Securitized Asset Fund | $201M | 3 | Jul 21, 2015 |
| Nuveen Clo Issuance Fund, LP | Hedge Fund | $198M | 102 | Feb 23, 2021 |
| Nuveen Clo Opportunities Master Fund LPno longer reported | Hedge Fund | $165M | 1 | Mar 15, 2024 |
| Nuveen Clo Opportunities Fund, LPno longer reported | Hedge Fund | $165M | 1 | Mar 24, 2023 |
| Nuveen Clo Issuance Feeder Fund II, LP | Hedge Fund | $131M | 9 | Mar 24, 2023 |
| International Fund, LLCno longer reported | Hedge Fund | $115M | 3 | Mar 27, 2012 |
| Nuveen Municipal Opportunities Master Fund LP | Hedge Fund | $99.9M | 182 | Mar 15, 2024 |
| Nuveen Municipal Opportunities Fund LP | Hedge Fund | $93.6M | 182 | Mar 25, 2020 |
| Nuveen Clo Issuance Fund III, LP | $73.8M | 9 | Mar 24, 2026 | |
| Nuveen High Yield Income Fund, LP | Other Private Fund | $69.1M | 6 | May 27, 2015 |
| Nuveen Smrs LLC (Clo Issuance - M Series) | $65.0M | 2 | Mar 24, 2026 | |
| Nuveen Smrs LLC (Clo Opportunities - M Series) | $53.1M | 2 | Mar 24, 2026 | |
| Nuveen Clo Issuance Feeder Fund III, LP | $44.7M | 1 | Mar 24, 2026 | |
| Core Plus Bond Fund, LLCno longer reported | Other Private Fund | $31.0M | 3 | Mar 27, 2012 |
| Nuveen Long-Short Credit Fund, LPno longer reported | Hedge Fund | $17.9M | 3 | Mar 30, 2012 |
| Municipal Cash Portfolio LLCno longer reported | Liquidity Fund | $11.6M | 3 | Mar 18, 2016 |
| Montgomery Street Fund LLC (Series 3)no longer reported | Other Private Fund | $1.3M | 14 | Jun 26, 2019 |
| Symphony Clo Xvii, Ltd. | Securitized Asset Fund | $1.0M | 6 | Mar 30, 2016 |
| California Street Clo V, Ltd.no longer reported | Securitized Asset Fund | $207,132 | 4 | Mar 30, 2012 |
| Montgomery Street Fund LLC (Series 1) | Other Private Fund | $202,187 | 14 | Mar 30, 2012 |
| Symphony Clo Xiv, Ltd. | Securitized Asset Fund | $162,696 | 8 | Aug 27, 2014 |
| Baycity Clo Holdings, L.P.no longer reported | Other Private Fund | $36,853 | 15 | Mar 30, 2012 |
| Montgomery Street Fund LLC (Series 2) | Other Private Fund | $14,200 | 11 | Mar 29, 2019 |
| California Street Clo Xii, Ltd. | Securitized Asset Fund | $0 | 1 | Mar 31, 2014 |
| Scof-2 Ltd. | Securitized Asset Fund | $0 | 1 | Feb 13, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Kehinde Konyinsola Akibayo · Controllercontrolsince 05/2025 · owns less than 5%
- Jona Stuart Cohen · Managing Director, Head Of Legalcontrolsince 03/2018 · owns less than 5%
- Thomas William Huffman · Presidentcontrolsince 12/2010 · owns less than 5%
- Ann Saira Malik · Executive Vice Presidentcontrolsince 07/2024 · owns less than 5%
- Martin Travis Pauley · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- Mitchell Jon Stevens · Senior Managing Director Officercontrolsince 03/2019 · owns less than 5%
- Eileen Megan Sendlak · Controllersince 11/2020 · owns less than 5%
Entity owners
- Nuveen Fund Advisors, LLC · 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 Investments, Inc. · Managing Memberindirect · owns 75% or more of Nuveen Fund Advisors, LLC
- 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 Fund Advisors, LLCinvestment adviserbankyRAUM $186B
- Nuveen Hong Kong Limitedinvestment advisern
- Nuveen Investment Management International Limitedinvestment advisern
- Nuveen Japan Co. Ltd.investment 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 Asset Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 252 | 44 | 6 | ||
| Los Angeles, Ca | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY84 employees
- Minneapolis, MN50 employees
- Los Angeles, CA33 employees
- Charlotte, NC30 employees
- San Francisco, CA25 employees
- San Francisco, CA25 employees
- Clayton, MO3 employees
- London, United Kingdom3 employees
- Newport Beach, CA2 employees
- Portland, OR2 employees
- Tokyo, Japan1 employees
- Princeton, NJ1 employees
- Central, Hong Kong1 employees
- Singapore, Singapore1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 24, 2026Akibayo, Konyinsola, Kehinde (CONTROLLER) appeared on Schedule A between the filings of 2024-07-31 and 2026-03-24peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Mar 24, 2026PAULEY, TRAVIS, MARTIN (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-07-31 and 2026-03-24peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Accounts · 71,370 to 65,258Aug 20, 2025 to Mar 24, 2026
- Advisory employees · 299 to 296Aug 20, 2025 to Mar 24, 2026
- BD registered reps · 45 to 46Aug 20, 2025 to Mar 24, 2026
- Charity clients · 134 to 119Aug 20, 2025 to Mar 24, 2026
- Corporate clients · 2,240 to 2,029Aug 20, 2025 to Mar 24, 2026
- HNW clients · 10,651 to 13,864Aug 20, 2025 to Mar 24, 2026
- Individual clients · 57,869 to 48,733Aug 20, 2025 to Mar 24, 2026
- Pension plan clients · 102 to 106Aug 20, 2025 to Mar 24, 2026
- Pooled vehicle clients · 166 to 188Aug 20, 2025 to Mar 24, 2026
- Assets in custody · $3.4B to $3.4BAug 20, 2025 to Mar 24, 2026
- Employees · 373 to 381Aug 20, 2025 to Mar 24, 2026
- Other offices · 19 to 28Aug 20, 2025 to Mar 24, 2026
- Private funds · 32 to 28Aug 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $260B to $280BAug 20, 2025 to Mar 24, 2026
- HNW RAUM · $32B to $40BAug 20, 2025 to Mar 24, 2026
- Individual RAUM · $21B to $20BAug 20, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $50.1M to $27.7MAug 20, 2025 to Mar 24, 2026
- Pension RAUM · $6.0B to $7.2BAug 20, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $36B to $44BAug 20, 2025 to Mar 24, 2026
- RAUM · $260B to $280BAug 20, 2025 to Mar 24, 2026
- Wrap assets (manager) · $40B to $66BAug 20, 2025 to Mar 24, 2026
- Private funds · 30 to 32Jul 31, 2025 to Aug 20, 2025
- Financial planning clients · unset to May 6, 2025 to Jul 31, 2025
- Accounts · 59,703 to 71,370Jul 31, 2024 to Mar 21, 2025
- Advisory employees · 321 to 299Jul 31, 2024 to Mar 21, 2025
- BD registered reps · 46 to 45Jul 31, 2024 to Mar 21, 2025
- Charity clients · 110 to 134Jul 31, 2024 to Mar 21, 2025
- Corporate clients · 2,051 to 2,240Jul 31, 2024 to Mar 21, 2025
- HNW clients · 11,160 to 10,651Jul 31, 2024 to Mar 21, 2025
- Individual clients · 45,947 to 57,869Jul 31, 2024 to Mar 21, 2025
- Pension plan clients · 111 to 102Jul 31, 2024 to Mar 21, 2025
- Pooled vehicle clients · 122 to 166Jul 31, 2024 to Mar 21, 2025
- Assets in custody · $2.4B to $3.4BJul 31, 2024 to Mar 21, 2025
- Employees · 397 to 373Jul 31, 2024 to Mar 21, 2025
- State-registered IARs · 29 to 30Jul 31, 2024 to Mar 21, 2025
- Other offices · 14 to 19Jul 31, 2024 to Mar 21, 2025
- Discretionary RAUM · $240B to $260BJul 31, 2024 to Mar 21, 2025
- HNW RAUM · $31B to $32BJul 31, 2024 to Mar 21, 2025
- Individual RAUM · $18B to $21BJul 31, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $49.5M to $50.1MJul 31, 2024 to Mar 21, 2025
Signals
60 dated events
- Edwin Belogorlov left Nuveen Asset Management, Llc for Advice And Planning Services (registered 2026-09-04)Sep 1, 2026 · Advisor changed firm · fact
- Benjamin James Colter left Nuveen Asset Management, Llc for Neuberger Berman Bd Llc (registered 2026-04-09)Apr 1, 2026 · Advisor changed firm · fact
- Nuveen Asset Management, Llc reported 28 offices beyond its principal office, up from 19 (2025-08-20 to 2026-03-24)Mar 24, 2026 · Office count change · derived
- Corey Johnson left Nuveen Asset Management, Llc for Wells Fargo Advisors (registered 2026-01-05)Dec 17, 2025 · Advisor changed firm · fact
- Graham Mcintosh Foltz left Nuveen Asset Management, Llc for Lido (registered 2026-01-08)Dec 15, 2025 · Advisor changed firm · fact
- Shawn Anthony Polk left Nuveen Asset Management, Llc for Wells Fargo Advisors (registered 2026-04-01)Nov 28, 2025 · Advisor changed firm · fact
- Edward Rhee left Nuveen Asset Management, Llc for Charles Schwab & Co., Inc. (registered 2026-08-20)Nov 20, 2025 · Advisor changed firm · fact
- John N Androla left Nuveen Asset Management, Llc for T. Rowe Price Associates, Inc. (registered 2025-09-25)Sep 8, 2025 · Advisor changed firm · fact
- Christopher Chinn left Nuveen Asset Management, Llc for Charles Schwab & Co., Inc. (registered 2025-09-02)Aug 25, 2025 · Advisor changed firm · fact
- Trigg Lewis Williamson left Nuveen Asset Management, Llc for Advisor.Com (registered 2025-07-29)May 31, 2025 · Advisor changed firm · fact
- Christopher Daniels left Nuveen Asset Management, Llc for Advanced Planning Advisors Group Inc. (registered 2025-09-16)May 20, 2025 · Advisor changed firm · fact
- Aaron Wayne Bouronich left Nuveen Asset Management, Llc for Creative Planning (registered 2025-09-02)Apr 11, 2025 · Advisor changed firm · fact
- Nuveen Asset Management, Llc reported 19 offices beyond its principal office, up from 14 (2024-07-31 to 2025-03-21)Mar 21, 2025 · Office count change · derived
- Brooke N Vannoy left Nuveen Asset Management, Llc for Alliancebernstein L.P. (registered 2025-04-14)Mar 19, 2025 · Advisor changed firm · fact
- Miles Finnegan left Nuveen Asset Management, Llc for Cohen & Steers Capital Management Inc. (registered 2025-04-30)Mar 7, 2025 · Advisor changed firm · fact
- Keith Allen Jones left Nuveen Asset Management, Llc for Invesco Advisers, Inc. (registered 2025-06-19)Mar 6, 2025 · Advisor changed firm · fact
- Alexander Kingsley Smith left Nuveen Asset Management, Llc for Robert W. Baird & Co. Incorporated (registered 2025-03-03)Feb 25, 2025 · Advisor changed firm · fact
- Daniel Schwartz left Nuveen Asset Management, Llc for Wealth Enhancement Advisory Services, Llc (registered 2025-06-11)Feb 12, 2025 · Advisor changed firm · fact
- Mollie Devins left Nuveen Asset Management, Llc for Morgan Stanley (registered 2025-02-12)Jan 28, 2025 · Advisor changed firm · fact
- Morgan Claire Blanco left Nuveen Asset Management, Llc for Columbia Management Investment Advisers, Llc (registered 2025-02-19)Jan 28, 2025 · Advisor changed firm · fact
- Madison Alayna Dunn left Nuveen Asset Management, Llc for Powell Wealth (registered 2025-02-20)Dec 2, 2024 · Advisor changed firm · fact
- Jacqueline Kay Melugin left Nuveen Asset Management, Llc for North Square Investments, Llc (registered 2025-09-08)Oct 3, 2024 · Advisor changed firm · fact
- Benjamin Aaron Krimmel left Nuveen Asset Management, Llc for Oberweis Asset Management Inc (registered 2024-10-04)Sep 17, 2024 · Advisor changed firm · fact
- Logan Dunbar left Nuveen Asset Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-10-21)Sep 10, 2024 · Advisor changed firm · fact
- Joseph Russel Simoncelli left Nuveen Asset Management, Llc for Advice And Planning Services (registered 2024-09-10)Aug 30, 2024 · Advisor changed firm · fact
- Nathan Martin Kimle left Nuveen Asset Management, Llc for Greater Midwest Financial Group, Llc (registered 2025-02-10)Aug 6, 2024 · Advisor changed firm · fact
- Matthew Craigle left Nuveen Asset Management, Llc for Confidence Wealth Management, Inc. (registered 2024-10-29)Aug 1, 2024 · Advisor changed firm · fact
- Ann Saira Malik (Executive Vice President) appeared on Schedule A of Nuveen Asset Management, LlcJul 31, 2024 · Control person joined · fact
- Michael David Ramsey left Nuveen Asset Management, Llc for J.P. Morgan Securities Llc (registered 2024-07-08)May 29, 2024 · Advisor changed firm · fact
- Shaila Nicole Maloney left Nuveen Asset Management, Llc for Advice And Planning Services (registered 2024-05-15)May 13, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Nuveen Asset Management, LLC · Private Equityshared crd · organization
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 24, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026