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
Justin PlanteNuveen Asset Management, LLC mixed wealthHennion & Walsh Asset Management, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 13, 2019Sep 20, 2019 (130 d)
Dennis Patrick KileyNuveen Asset Management, LLC mixed wealthLPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 26, 2019Nov 27, 2019 (215 d)
Robert Patrick OlsonNuveen Asset Management, LLC mixed wealthMorningstar Investment Services LLC independent RIARIA to RIAApr 26, 2019Feb 9, 2021 (655 d)
Mark Lester P ReyesNuveen Asset Management, LLC mixed wealthAssetmark, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMar 28, 2019Apr 11, 2019
Douglas Joseph KadisonNuveen Asset Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherFeb 11, 2019Feb 26, 2019
Johnathon PanterNuveen Asset Management, LLC otherRBC Capital Markets, LLC national BDOtherJan 7, 2019Jan 4, 2019
Jared Zachary DowdakinNuveen Asset Management, LLC otherJ.P. Morgan Securities LLC wirehouseOtherNov 7, 2018Nov 6, 2018
Anton Thomas SchirmangNuveen Asset Management, LLC otherPolaris Wealth Advisory Group independent RIAOtherNov 2, 2018Nov 1, 2018
Benjamin Hodgkins MatzellNuveen Asset Management, LLC otherF3logic, LLC independent RIAOtherSep 18, 2018Sep 14, 2018
Kenneth Louis RiffleNuveen Asset Management, LLC otherMid Atlantic Financial Management, Inc. BD affiliatedOtherSep 14, 2018Sep 17, 2018
Erin DonnellyNuveen Asset Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 13, 2018Oct 22, 2019 (404 d)
Bradley Robert YocumNuveen Asset Management, LLC otherCornerstone Advisors Asset Management, LLC otherOtherAug 27, 2018Mar 25, 2019 (210 d)
James Banigan CaseyNuveen Asset Management, LLC otherGuggenheim Investments asset managerOtherAug 13, 2018Aug 15, 2018
William Lewis GurnerNuveen Asset Management, LLC otherMid Atlantic Financial Management, Inc. BD affiliatedOtherMay 7, 2018May 23, 2018
Melissa Britton RoeNuveen Asset Management, LLC otherCapital Client Group, Inc. no RAUMOtherApr 11, 2018Apr 26, 2018
Matthew Lockhart KellyNuveen Asset Management, LLC otherWilliam Blair & Company L.L.C. otherOtherMar 20, 2018Mar 14, 2018
Dominick J TrapassoNuveen Asset Management, LLC otherLord, Abbett & Co. LLC asset managerOtherMar 14, 2018Mar 14, 2018
Angelia Gail HunterNuveen Asset Management, LLC otherCapital Client Group, Inc. no RAUMOtherFeb 14, 2018Feb 8, 2019 (359 d)
Marcus VelascoNuveen Asset Management, LLC otherAllstate Financial Advisors, LLC BD affiliatedOtherJan 30, 2018Oct 23, 2018 (266 d)
Bryan Charles TennantNuveen Asset Management, LLC otherFirst Trust Advisors LP asset managerOtherJan 30, 2018Apr 17, 2018 (77 d)
Joshua Paul HelmsNuveen Asset Management, LLC otherAdvice And Planning Services BD affiliatedOtherAug 22, 2017Jun 3, 2021 (1381 d)
James Dean RamirezNuveen Asset Management, LLC otherNorthern Trust Investments, Incorporated otherOtherJul 12, 2017Aug 1, 2017
Ryan JoelsonNuveen Asset Management, LLC otherSagepoint Financial, Inc. otherOtherJun 19, 2017Sep 7, 2017 (80 d)
Thomas P HigginsNuveen Asset Management, LLC otherGuggenheim Investments otherOtherJun 19, 2017Jun 23, 2017
Sally Jo OsborneNuveen Asset Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 23, 2017Aug 17, 2017 (86 d)
Samuel DechtmanNuveen Asset Management, LLC otherSecurities America Advisors, Inc. otherOtherMay 23, 2017Jul 5, 2017 (43 d)
Christopher J MallonNuveen Asset Management, LLC otherDynamic independent RIAOtherMar 22, 2017Nov 16, 2018 (604 d)
Sharif Salah HusseiniNuveen Asset Management, LLC otherAdvisors Asset Management, Inc. otherOtherDec 14, 2016Feb 9, 2018 (422 d)
Eric BorsoniNuveen Asset Management, LLC otherNew York Life Investment Management LLC otherOtherOct 19, 2016Nov 23, 2016 (35 d)
Arthur Roy DriscollNuveen Asset Management, LLC otherSanta Barbara Asset Management, LLC otherOtherOct 17, 2016Mar 5, 2015
Brian Keith BrummellNuveen Asset Management, LLC otherExeter Financial, LLC otherOtherSep 14, 2016Jan 20, 2017 (128 d)
John Walter HealyNuveen Asset Management, LLC otherBancwest Investment Services, Inc. (Bwis) otherOtherJun 6, 2016Jul 28, 2016 (52 d)
Neal Dryton SmithNuveen Asset Management, LLC otherVoya Financial Partners, LLC otherOtherApr 6, 2016Apr 21, 2016
Daniel Patrick DriscollNuveen Asset Management, LLC otherTradewinds Global Investors, LLC otherOtherJan 29, 2016Jan 29, 2016
Ryan De SilvaNuveen Asset Management, LLC otherArrowroot Family Office, LLC independent RIAOtherSep 9, 2015Aug 5, 2017 (696 d)
Daniel J NyhanNuveen Asset Management, LLC otherMesirow Financial Investment Management, Inc. otherOtherJul 10, 2015Jul 13, 2015
John Stephen GuyetNuveen Asset Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 22, 2015Aug 27, 2021 (2258 d)
Howard Edmond ReichNuveen Asset Management, LLC otherInvesco Advisers, Inc. otherOtherMar 13, 2015May 5, 2015 (53 d)
Edward N LamsonNuveen Asset Management, LLC otherSanta Barbara Asset Management, LLC otherOtherJan 20, 2015Mar 8, 2013
Taylor DepenalozaNuveen Asset Management, LLC otherUBS Financial Services Inc. wirehouseOtherAug 4, 2014Aug 25, 2014
Andrew Thomas GreenawaltNuveen Asset Management, LLC otherAmerican Beacon Advisors, Inc. otherOtherJul 21, 2014May 14, 2015 (297 d)
Thomas Lee PetricNuveen Asset Management, LLC otherGood Harbor Financial otherOtherJul 21, 2014Aug 4, 2014
Matthew William BorenNuveen Asset Management, LLC otherT. Rowe Price Associates, Inc. otherOtherJun 26, 2014Sep 29, 2017 (1191 d)
Dominic Mark AltoNuveen Asset Management, LLC otherBpv Capital Management, LLC otherOtherJun 20, 2014Jun 10, 2015 (355 d)
Michael Gregg SindiciNuveen Asset Management, LLC otherAristotle Capital Management, LLC otherOtherApr 8, 2014Oct 6, 2015 (546 d)
Martin C. PerrucciNuveen Asset Management, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 18, 2014Mar 17, 2014
Kevin Michael MooreNuveen Asset Management, LLC otherGeneva Advisors, LLC otherOtherMar 7, 2014Mar 17, 2014
Tai S. ParkNuveen Asset Management, LLC otherAdvisors Asset Management, Inc. otherOtherJan 27, 2014Jan 21, 2015 (359 d)
Thomas Levi WilliamsonNuveen Asset Management, LLC otherMiller Howard Investments Inc otherOtherJan 27, 2014Apr 8, 2014 (71 d)
Heidi Christine KaneyNuveen Asset Management, LLC otherT. Rowe Price Advisory Services, Inc. otherOtherOct 31, 2013Aug 30, 2017 (1399 d)
John Michael BuckleyNuveen Asset Management, LLC otherMorgan Stanley wirehouseOtherSep 23, 2013Nov 19, 2013 (57 d)
Elizabeth CliffordNuveen Asset Management, LLC otherUBS Financial Services Inc. wirehouseOtherJan 9, 2013Sep 1, 2015 (965 d)
Karen Lynn StevisonNuveen Asset Management, LLC otherTd Ameritrade, Inc. no RAUMOtherDec 3, 2012Jul 27, 2021 (3158 d)
Karen Lynn MclaughlinNuveen Asset Management, LLC otherSei Investments Management Corp otherOtherDec 3, 2012Feb 21, 2013 (80 d)
Michael Bryan MccannNuveen Asset Management, LLC otherDimensional Fund Advisors LP otherOtherNov 5, 2012Nov 19, 2012
Samuel James WillisNuveen Asset Management, LLC otherFirst Trust Advisors LP otherOtherJul 6, 2012Jun 29, 2012
Thomas Vincent ReidNuveen Asset Management, LLC otherSterling Capital Management LLC otherOtherJun 29, 2012Jan 9, 2013 (194 d)
Daniel Robert O'KrayNuveen Asset Management, LLC otherMorgan Stanley wirehouseOtherMar 28, 2012Mar 26, 2012
Catherine Theresa ReeseNuveen Asset Management, LLC otherHillview Capital Advisors, LLC otherOtherJan 12, 2012Sep 21, 2012 (253 d)
John Philip KellyNuveen Asset Management, LLC otherBrandes Investment Partners, LP otherOtherNov 21, 2011Feb 26, 2020 (3019 d)
Page 3 of 4PreviousNext
181 moves match.