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 Capital Markets LLC

Former SEC-registered adviserSan Francisco, CaliforniaCRD 301204SEC 801-117462IAPD
Latest filing Sep 9, 2019
First filing on the tape Mar 21, 2019 · 4 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
21 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Sep 9, 2019
Mar 21, 2019$0 then
HNW client RAUM$0 as of Sep 9, 2019
Mar 21, 2019$0 then
State-registered IARs (5.B.3)0 as of Sep 9, 2019
Mar 21, 20190 then
Employees (5.A)25 as of Sep 9, 2019
Mar 21, 201925 then
Private funds1 as of Sep 9, 2019
Jun 7, 20191 then
Practice profile
derived from the filing of Sep 9, 2019; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Symphony Clo Xxii, Ltd.Securitized Asset Fund$02Jun 7, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • Emil Thomas Grenville · Managing Director, Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • Claudio Jorge Gutierrez · Vp, Treasurercontrol
        since 03/2019 · owns less than 5%
      • Jerome Kevin Mccarthy · Secretarycontrol
        since 03/2019 · owns less than 5%
      • Manuel Jose Minaya · Evp, President, Global Investmentscontrol
        since 03/2019 · owns less than 5%
      • Nmn Marjorie Pierre-Merritt · Vp, Corporate Secretarycontrol
        since 03/2019 · owns less than 5%
      • Stone James Stenersen · Senior Managing Directorcontrol
        since 03/2019 · owns less than 5%
      • Penn Austin Wachter · Managing Director, Controllercontrol
        since 03/2019 · owns less than 5%
      Entity owners
      • Nuveen Investments, Inc. · Managing Member
        direct · owns 75% or more
      • Nuveen Finance, LLC · Shareholder
        indirect · owns 75% or more of Nuveen Holdings 1, Inc.
      • Nuveen Holdings 1, Inc. · Shareholder
        indirect · owns 75% or more of Nuveen Holdings, Inc.
      • Nuveen Holdings, Inc. · Shareholder
        indirect · owns 75% or more of Nuveen Investments, Inc.
      • Nuveen, LLC · Member
        indirect · owns 75% or more of Nuveen Finance, LLC
      • Teachers Insurance And Annuity Association Of America · Member
        indirect · owns 75% or more of Nuveen, LLC
      • Tiaa Board Of Overseers · Shareholder
        indirect · owns 75% or more of Teachers Insurance And Annuity Association Of America
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Charlotte, NC8 employees
      • New York, NY6 employees
      What changed
      consecutive filings, newest first
      • Private funds · unset to 1
        Mar 21, 2019 to Jun 7, 2019
      Signals
      1 dated events
      • Nuveen Capital Markets Llc filed its initial SEC registration (Form ADV)
        Mar 21, 2019 · First SEC registration · 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