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 Investments Advisers, 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 |
|---|---|---|---|---|---|
| William M Fitzgerald | Nuveen Investments Advisers, LLC other | Fitzgerald Asset Management, LLC state registered | Other | Apr 2, 2008 | Sep 14, 2012 (1626 d) |
| Charles William Sauter | Nuveen Investments Advisers, LLC other | Nuveen Fund Advisors, LLC other | Other | Dec 31, 2003 | Feb 6, 2009 (1864 d) |
| Brian Keith Brummell | Nuveen Investments Advisers, LLC other | Nuveen Asset Management, LLC other | Other | Dec 31, 2003 | Sep 1, 2011 (2801 d) |
Page 1 of 1
3 moves match.