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.

Advisor moves

Departures from Nuveen Fund Advisors, LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Francesco Cristiano	Nuveen Fund Advisors, LLC other	Rittenhouse Asset Management, Inc. unclassified	Other	Sep 1, 2011	Jun 20, 2002
Raymond Allen Olson	Nuveen Fund Advisors, LLC other	Rittenhouse Asset Management, Inc. unclassified	Other	Sep 1, 2011	Aug 9, 2001
Richard William Baur	Nuveen Fund Advisors, LLC other	Rittenhouse Asset Management, Inc. unclassified	Other	Sep 1, 2011	Jul 16, 2001
Brian Keith Brummell	Nuveen Fund Advisors, LLC other	Rittenhouse Asset Management, Inc. unclassified	Other	Sep 1, 2011	Aug 1, 2001
Megan L. Mead	Nuveen Fund Advisors, LLC other	Envestnet Pmc BD affiliated	Other	Jul 12, 2011	May 2, 2019 (2851 d)
Tesa Brooke Williamson	Nuveen Fund Advisors, LLC other	Doyenne Wealth Advisors independent RIA	Other	Mar 31, 2011	May 16, 2022 (4064 d)
John W Gambla	Nuveen Fund Advisors, LLC other	Nuveen Hydepark Group, LLC unclassified	Other	Mar 24, 2011	Oct 1, 2007
Wendy Semkus	Nuveen Fund Advisors, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jan 12, 2011	Dec 19, 2024 (5090 d)
Johnathan Nein Wilhelm	Nuveen Fund Advisors, LLC other	Pt Asset Management, LLC other	Other	Dec 20, 2010	Aug 17, 2011 (240 d)
Marion Rogers Metzbower	Nuveen Fund Advisors, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 16, 2010	Nov 7, 2019 (3248 d)
John Patrick Brogan	Nuveen Fund Advisors, LLC other	Blackrock Investment Management, LLC other	Other	Nov 15, 2010	Jul 19, 2011 (246 d)
Matthew William Davoust Whall	Nuveen Fund Advisors, LLC other	Neuberger Berman Bd LLC other	Other	Nov 2, 2010	Nov 9, 2010
Brian David Moore	Nuveen Fund Advisors, LLC other	Morgan Stanley wirehouse	Other	Jan 19, 2010	Jul 6, 2010 (168 d)
Jeanne Ae Enright	Nuveen Fund Advisors, LLC other	William Blair & Company L.L.C. other	Other	Oct 29, 2009	Nov 17, 2009
Marisa Beth Goldstein	Nuveen Fund Advisors, LLC other	First Allied Securities, Inc. other	Other	Oct 29, 2009	Oct 19, 2011 (720 d)
Elizabeth Lynne Deveau	Nuveen Fund Advisors, LLC other	Blackrock Fund Advisors other	Other	Sep 25, 2009	Oct 27, 2009 (32 d)
Paul A Palichuk	Nuveen Fund Advisors, LLC other	Rittenhouse Asset Management, Inc. unclassified	Other	Jun 24, 2009	Jun 5, 2002
Todd Harold Keating	Nuveen Fund Advisors, LLC other	Parvin Fund Management asset manager	Other	Apr 2, 2009	Nov 22, 2022 (4982 d)
Benjamin Thomas King	Nuveen Fund Advisors, LLC other	Wells Fargo Advisors wirehouse	Other	Nov 19, 2008	Dec 15, 2008
Michael Dean Graveline	Nuveen Fund Advisors, LLC other	Pnc Capital Advisors, Inc. unclassified	Other	Jul 7, 2008	Jul 10, 2008
William M Fitzgerald	Nuveen Fund Advisors, LLC other	Nuveen Investments Advisers, LLC other	Other	Apr 2, 2008	Apr 24, 2006
Bryan J. Mathie	Nuveen Fund Advisors, LLC other	The Mosaic Financial Group, LLC other	Other	Mar 5, 2007	Mar 23, 2007
Jeffrey Robert Scharf	Nuveen Fund Advisors, LLC other	Janney Montgomery Scott LLC other	Other	Dec 5, 2006	Dec 11, 2006
Paul Bradley Citarell	Nuveen Fund Advisors, LLC other	Signator Investors, Inc. other	Other	Sep 7, 2006	Sep 14, 2006
Daniel Solomon Solender	Nuveen Fund Advisors, LLC other	Lord, Abbett & Co. LLC other	Other	Jul 10, 2006	Aug 4, 2006
Charles Kenneth Sherburne	Nuveen Fund Advisors, LLC other	Lasalle Financial Services, Inc. unclassified	Other	Apr 12, 2006	Jun 21, 2006 (70 d)
Lawrence Gillum	Nuveen Fund Advisors, LLC other	Newport Group Securities, Inc. other	Other	Jul 19, 2005	May 14, 2009 (1395 d)
Jason Matthew Schoettmer	Nuveen Fund Advisors, LLC other	Virtus Investment Advisers, LLC other	Other	May 11, 2004	Apr 3, 2012 (2884 d)
Jason Scott Swedo	Nuveen Fund Advisors, LLC other	Van Kampen Advisors Inc unclassified	Other	May 11, 2004	Jun 8, 2005 (393 d)
Sandie Kay Rodda	Nuveen Fund Advisors, LLC other	Citigroup Global Markets Inc. other	Other	May 4, 2004	Apr 2, 2008 (1429 d)
John Beatty Lynch	Nuveen Fund Advisors, LLC other	Oppenheimer & Co. Inc. other	Other	Apr 26, 2004	May 4, 2004
Charles William Sauter	Nuveen Fund Advisors, LLC other	Rittenhouse Asset Management, Inc. unclassified	Other	Dec 31, 2003	Feb 25, 2002
Gary Robert Downie	Nuveen Fund Advisors, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 8, 2003	Feb 20, 2006 (866 d)
Wendy D Masse	Nuveen Fund Advisors, LLC other	Rittenhouse Asset Management, Inc. unclassified	Other	Dec 31, 2002	Jun 19, 2002
Marc Paul Sultan	Nuveen Fund Advisors, LLC other	Fisher Investments other	Other	Dec 3, 2002	Nov 13, 2003 (345 d)

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35 moves match.