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 Asset Management, 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.

AdvisorFromToTypeLeftRegistered
Russell Quentin StewartNuveen Asset Management, LLC otherTruist Advisory Services, Inc. BD affiliatedOtherSep 28, 2022Oct 7, 2022
Thomas Edward ZanellatoNuveen Asset Management, LLC otherPutnam Investment Management, LLC asset managerOtherSep 23, 2022Oct 18, 2022
Roger VeomeNuveen Asset Management, LLC otherRaymond James & Associates, Inc. national BDOtherSep 7, 2022Sep 16, 2022
Joseph Reeves O'FlahertyNuveen Asset Management, LLC otherChannel Wealth, LLC independent RIAOtherAug 17, 2022Jan 1, 2025 (868 d)
Bleri BreguNuveen Asset Management, LLC otherFirst Trust Advisors LP asset managerOtherAug 17, 2022Aug 12, 2022
Joseph Patrick LynchNuveen Asset Management, LLC otherCapital Client Group, Inc. no RAUMOtherJul 29, 2022Aug 22, 2022
Tigran KazaryanNuveen Asset Management, LLC otherT. Rowe Price Associates, Inc. asset managerOtherJul 15, 2022Feb 20, 2026 (1316 d)
Olivia T. BakunasNuveen Asset Management, LLC otherNomura Investment Management Business Trust otherOtherDec 16, 2021Jan 14, 2022
Corina ParmenterNuveen Asset Management, LLC otherEmpower Advisory Group, LLC otherOtherDec 10, 2021Mar 1, 2022 (81 d)
Christopher Edward FitzgeraldNuveen Asset Management, LLC otherMorningstar Investment Services LLC independent RIAOtherOct 1, 2021Jun 16, 2023 (623 d)
Anthony GedwillNuveen Asset Management, LLC otherRothschild Wealth LLC independent RIAOtherSep 13, 2021Dec 14, 2022 (457 d)
Andrea Giganti BrooklierNuveen Asset Management, LLC otherNatixis Advisors, LLC BD affiliatedOtherAug 16, 2021Jun 15, 2021
Christen A RyanNuveen Asset Management, LLC otherAllspring Funds Management, LLC asset managerOtherAug 10, 2021Aug 20, 2026 (1836 d)
Dominic Joseph DalmasoNuveen Asset Management, LLC otherSound Capital Solutions LLC no RAUMOtherAug 2, 2021Sep 2, 2021 (31 d)
Robert WilkinsonNuveen Asset Management, LLC otherAdvisors Asset Management, Inc. otherOtherApr 20, 2021Sep 14, 2021 (147 d)
Brett Allen PiersonNuveen Asset Management, LLC otherOberweis Asset Management Inc otherOtherApr 20, 2021May 3, 2021
Robert F WarcholNuveen Asset Management, LLC mixed wealthAllspring Funds Management, LLC asset managerOtherNov 30, 2020Jul 7, 2021 (219 d)
Kyle BakhshiNuveen Asset Management, LLC mixed wealthWilliam Blair & Company L.L.C. BD affiliatedRIA to affiliated broker-dealer or bankNov 19, 2020Jul 15, 2021 (238 d)
Marc Walter CoriglianoNuveen Asset Management, LLC mixed wealthFiducient Advisors LLC mixed wealthRIA to RIANov 19, 2020Feb 16, 2022 (454 d)
Brian ZdeblickNuveen Asset Management, LLC mixed wealthFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankSep 3, 2020Oct 14, 2020 (41 d)
John Joseph Gavin IIINuveen Asset Management, LLC mixed wealthNew York Life Investment Management LLC asset managerOtherAug 27, 2020Oct 27, 2020 (61 d)
Peter J HessNuveen Asset Management, LLC mixed wealthCantor Fitzgerald Investment Advisors mixed wealthRIA to RIAAug 10, 2020May 10, 2021 (273 d)
Scott Alan StanleyNuveen Asset Management, LLC mixed wealthNew York Life Investment Management LLC asset managerOtherAug 10, 2020Oct 23, 2020 (74 d)
Joshua Daniel FiedlerNuveen Asset Management, LLC mixed wealthNew York Life Investment Management LLC asset managerOtherAug 10, 2020Oct 8, 2020 (59 d)
Patrick Thomas LevenduskyNuveen Asset Management, LLC mixed wealthBny Mellon Securities Corporation BD affiliatedRIA to affiliated broker-dealer or bankAug 10, 2020Oct 29, 2020 (80 d)
William Joseph DejianneNuveen Asset Management, LLC mixed wealthNeedham & Company, LLC no RAUMOtherAug 7, 2020Mar 20, 2021 (225 d)
Paul John ValdesNuveen Asset Management, LLC mixed wealthBeacon Pointe Advisors, LLC independent RIARIA to RIAAug 7, 2020May 7, 2021 (273 d)
Kevin BrennanNuveen Asset Management, LLC mixed wealthEdward Jones national BDRIA to affiliated broker-dealer or bankAug 7, 2020Jan 19, 2023 (895 d)
Timothy Alan O'LearyNuveen Asset Management, LLC mixed wealthRaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 7, 2020Feb 4, 2021 (181 d)
Darren Anthony BrichNuveen Asset Management, LLC mixed wealthHartford Funds asset managerOtherAug 7, 2020Oct 21, 2020 (75 d)
Ross A LangNuveen Asset Management, LLC mixed wealthNew York Life Investment Management LLC asset managerOtherAug 7, 2020May 20, 2022 (651 d)
Daniel James TaylorNuveen Asset Management, LLC mixed wealthThoroughbred Financial Services, LLC independent RIARIA to RIAAug 7, 2020Apr 6, 2022 (607 d)
Nicholas Henry LanctotNuveen Asset Management, LLC mixed wealthRaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankAug 7, 2020Sep 20, 2024 (1505 d)
Jacklyn Joyce KingNuveen Asset Management, LLC mixed wealthWells Fargo Advisors wirehouseRIA to wirehouseAug 7, 2020May 18, 2022 (649 d)
Jonathan Bradley SeiterNuveen Asset Management, LLC mixed wealthR.T. Jones Capital Equities Management Inc. independent RIARIA to RIAAug 7, 2020Mar 29, 2022 (599 d)
Jordan Michael ToepelNuveen Asset Management, LLC mixed wealthCalamos Advisors LLC asset managerOtherAug 7, 2020Jul 21, 2021 (348 d)
Frank J. NovelliNuveen Asset Management, LLC mixed wealthTd Ameritrade, Inc. no RAUMOtherAug 7, 2020Apr 15, 2021 (251 d)
Ari Cooper TaubliebNuveen Asset Management, LLC mixed wealthRoot Financial Partners independent RIARIA to RIAAug 7, 2020Jan 9, 2025 (1616 d)
Taylor Renee CowdreyNuveen Asset Management, LLC mixed wealthNorthern Trust Investments, Incorporated asset managerOtherMar 26, 2020Jun 8, 2021 (439 d)
Jason Louis WhitneyNuveen Asset Management, LLC mixed wealthFirst Trust Advisors LP asset managerOtherFeb 11, 2020May 4, 2021 (448 d)
Tina MeckaroskiNuveen Asset Management, LLC mixed wealthHighpoint Planning Partners independent RIARIA to RIAJan 30, 2020Jan 11, 2024 (1442 d)
Paul T ReddenNuveen Asset Management, LLC mixed wealthMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseJan 21, 2020Apr 16, 2020 (86 d)
James Peter BertramNuveen Asset Management, LLC mixed wealthCnl Educational Institute, LLC no RAUMOtherJan 21, 2020Mar 16, 2020 (55 d)
Jarret Michael ShattuckNuveen Asset Management, LLC mixed wealthRaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankJan 15, 2020Sep 15, 2020 (244 d)
John Bryson PalmerNuveen Asset Management, LLC mixed wealthSecurities America Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 15, 2020Jan 6, 2021 (357 d)
Joseph MccaffreyNuveen Asset Management, LLC mixed wealthCra Financial Services, L.L.C. independent RIARIA to RIAJan 15, 2020Jan 30, 2020
Allison Wiegand MathiasNuveen Asset Management, LLC mixed wealthPnc Capital Advisors LLC otherOtherDec 12, 2019Apr 16, 2020 (126 d)
Justine Chin WalkerNuveen Asset Management, LLC mixed wealthFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankDec 12, 2019Sep 11, 2020 (274 d)
Reed David WaltersNuveen Asset Management, LLC mixed wealthMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 4, 2019Dec 3, 2020 (365 d)
Christopher T KochNuveen Asset Management, LLC mixed wealthFederated Investment Counseling institutionalOtherNov 22, 2019Nov 21, 2019
Ryan Patrick DwyerNuveen Asset Management, LLC mixed wealthRBC Capital Markets, LLC national BDRIA to affiliated broker-dealer or bankNov 14, 2019Jan 7, 2020 (54 d)
John Joseph BurkeNuveen Asset Management, LLC mixed wealthAlliancebernstein L.P. otherOtherNov 11, 2019Nov 20, 2019
Bryan Scott BrooksNuveen Asset Management, LLC mixed wealthFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankSep 5, 2019Nov 9, 2020 (431 d)
Petya KaloferovaNuveen Asset Management, LLC mixed wealthMorgan Stanley wirehouseRIA to wirehouseSep 5, 2019Mar 11, 2020 (188 d)
Jason Patrick KrupaNuveen Asset Management, LLC mixed wealthMML Investors Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 1, 2019Sep 5, 2019 (35 d)
Matthew Robinson RoeserNuveen Asset Management, LLC mixed wealthMorgan Stanley wirehouseRIA to wirehouseJul 16, 2019Aug 26, 2019 (41 d)
Robert M WeldonNuveen Asset Management, LLC mixed wealthEaton Vance Management mixed wealthRIA to RIAJun 10, 2019Sep 29, 2020 (477 d)
Sean James MahoneyNuveen Asset Management, LLC mixed wealthAdvisors Asset Management, Inc. otherOtherMay 31, 2019Aug 4, 2021 (796 d)
Kathryn KettenhofenNuveen Asset Management, LLC mixed wealthBenjamin F. Edwards & Company, Incorporated BD affiliatedRIA to affiliated broker-dealer or bankMay 31, 2019Jun 3, 2019
Ryan Christopher VanweezelNuveen Asset Management, LLC mixed wealthCadaret Grant & Co Inc BD affiliatedRIA to affiliated broker-dealer or bankMay 13, 2019May 28, 2019
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181 moves match.