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

Arrivals at 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
Eric S. ErwaySanta Barbara Asset Management, LLC otherNuveen Asset Management, LLC otherOtherDec 31, 2021Jan 3, 2022
Christopher Lee PerrySanta Barbara Asset Management, LLC otherNuveen Asset Management, LLC mixed wealthOtherDec 31, 2021Dec 18, 2025 (1448 d)
Edward N LamsonSanta Barbara Asset Management, LLC otherNuveen Asset Management, LLC otherOtherDec 31, 2021Jan 3, 2022
Michael Daniel WisinskiEquitable Advisors, LLC national BDNuveen Asset Management, LLC otherOtherDec 6, 2021Aug 4, 2022 (241 d)
Sean Patrick CribbinBlackrock Investment Management, LLC otherNuveen Asset Management, LLC otherOtherNov 18, 2021Dec 17, 2021
Robert Earl SingletaryAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC otherOtherNov 9, 2021Nov 9, 2021
Stephen Anthony PorcoEdelman Financial Engines mixed wealthNuveen Asset Management, LLC otherOtherOct 19, 2021Mar 11, 2022 (143 d)
Frederick Charles PickardNew York Life Investment Management LLC asset managerNuveen Asset Management, LLC otherOtherSep 1, 2021Oct 18, 2021 (47 d)
Tracy Ann Morante RobeniolAristotle Capital Management, LLC otherNuveen Asset Management, LLC otherOtherJul 8, 2021Sep 3, 2021 (57 d)
Vikrant Nahal AryaBlackrock Investment Management, LLC otherNuveen Asset Management, LLC otherOtherJun 24, 2021Oct 18, 2021 (116 d)
Tigran KazaryanBlackrock Investment Management, LLC otherNuveen Asset Management, LLC otherOtherJun 15, 2021Oct 4, 2021 (111 d)
Spencer Redmond WilliamsInvesco Advisers, Inc. asset managerNuveen Asset Management, LLC otherOtherJun 11, 2021Jul 7, 2021
Corina ParmenterAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC otherOtherMay 27, 2021Nov 29, 2021 (186 d)
James AudasWaddell & Reed BD affiliatedNuveen Asset Management, LLC otherOtherApr 21, 2021Aug 31, 2021 (132 d)
Luis Ricardo ArispeFrost Investment Advisors, LLC asset managerNuveen Asset Management, LLC mixed wealthOtherMar 25, 2021Aug 18, 2025 (1607 d)
Eric Jacobs FosterNatixis Advisors, LLC BD affiliatedNuveen Asset Management, LLC otherOtherMar 4, 2021Dec 1, 2023 (1002 d)
Laura Rebecca StolfiInvesco Advisers, Inc. asset managerNuveen Asset Management, LLC otherOtherJan 29, 2021Mar 25, 2021 (55 d)
Christopher ChinnAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJan 6, 2021Feb 19, 2021 (44 d)
Russell Quentin StewartAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIADec 22, 2020Jan 7, 2021
Dominika GergelyBlackrock Investment Management, LLC otherNuveen Asset Management, LLC mixed wealthOtherNov 30, 2020Dec 7, 2020
Erika Leslie Brekke ZablerThrivent Investment Management Inc. BD affiliatedNuveen Asset Management, LLC otherOtherNov 27, 2020Aug 26, 2022 (637 d)
Shawn Anthony PolkAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC otherOtherNov 13, 2020Apr 26, 2022 (529 d)
Daric Hugh OlsonRussell Investments otherNuveen Asset Management, LLC mixed wealthOtherNov 12, 2020Nov 22, 2020
Joseph Rayfield LevelVoya Investment Management Co. LLC asset managerNuveen Asset Management, LLC mixed wealthOtherOct 23, 2020Nov 23, 2020 (31 d)
Kate Macarthur LawsonAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAOct 15, 2020Oct 16, 2020
Dennis Patrick KileyLPL Financial LLC BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAOct 12, 2020Sep 28, 2020
Bradford Lee RowbothamClearbridge Investments, LLC mixed wealthNuveen Asset Management, LLC mixed wealthRIA to RIAOct 12, 2020Dec 2, 2020 (51 d)
Daniel SchwartzClearbridge Investments, LLC mixed wealthNuveen Asset Management, LLC mixed wealthRIA to RIAOct 7, 2020Nov 17, 2020 (41 d)
Nathan StegmanMorgan Stanley wirehouseNuveen Asset Management, LLC mixed wealthWirehouse to independent RIAOct 2, 2020Nov 5, 2020 (34 d)
Charles Devin HamiltonBallew Advisors Inc independent RIANuveen Asset Management, LLC mixed wealthRIA to RIAJul 7, 2020Oct 30, 2020 (115 d)
Lazarus L GoosbyRobert W. Baird & Co. Incorporated mixed wealthNuveen Asset Management, LLC mixed wealthRIA to RIAJun 10, 2020Jun 17, 2020
Joseph Patrick LynchPutnam Investment Management, LLC asset managerNuveen Asset Management, LLC mixed wealthOtherMay 26, 2020Jun 5, 2020
John N AndrolaEdward Jones national BDNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAFeb 17, 2020Feb 28, 2020
John DrathsAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAFeb 10, 2020Feb 25, 2020
James Joseph PenneyBlackrock Investment Management, LLC otherNuveen Asset Management, LLC otherOtherJan 21, 2020Jan 31, 2022 (741 d)
Travis James SchantzMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC mixed wealthWirehouse to independent RIAJan 3, 2020Jan 14, 2020
Jacob BrandolinoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC mixed wealthWirehouse to independent RIAOct 15, 2019Oct 8, 2019
Elizabeth DangremondMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC mixed wealthWirehouse to independent RIAJul 6, 2019Jul 30, 2019
Anthony GedwillInvesco Advisers, Inc. asset managerNuveen Asset Management, LLC mixed wealthOtherMay 30, 2019Sep 13, 2019 (106 d)
Stacie Fincher TepattiInvesco Advisers, Inc. asset managerNuveen Asset Management, LLC mixed wealthOtherMay 30, 2019Jul 30, 2019 (61 d)
Luis Alejandro PelaezLPL Financial LLC independent RIANuveen Asset Management, LLC mixed wealthRIA to RIAMar 29, 2019Oct 8, 2019 (193 d)
Lisa ZardAlphacore Capital LLC independent RIANuveen Asset Management, LLC mixed wealthRIA to RIAMar 19, 2019Jun 16, 2020 (455 d)
John William WatsonAlera Investment Advisors, LLC independent RIANuveen Asset Management, LLC mixed wealthRIA to RIAMar 8, 2019Mar 25, 2019
Robert Oliver KronBlackrock Investment Management, LLC otherNuveen Asset Management, LLC mixed wealthOtherJan 16, 2019Jan 14, 2026 (2555 d)
Dena CapitaniAdvisors Asset Management, Inc. mixed wealthNuveen Asset Management, LLC otherOtherDec 4, 2018Dec 20, 2018
Christopher DanielsLPL Financial LLC independent RIANuveen Asset Management, LLC otherOtherSep 18, 2018Aug 29, 2018
Sarah Marie JohnsonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC otherOtherJul 31, 2018Jul 26, 2018
Thomas Edward ZanellatoBrandes Investment Partners, LP otherNuveen Asset Management, LLC otherOtherJun 4, 2018Jun 22, 2018
Benjamin Hodgkins MatzellLPL Financial LLC independent RIANuveen Asset Management, LLC otherOtherMay 9, 2018Jul 6, 2018 (58 d)
Brian John CullenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC otherOtherApr 24, 2018May 10, 2018
Kathryn KettenhofenAdvisors Asset Management, Inc. mixed wealthNuveen Asset Management, LLC otherOtherApr 18, 2018Apr 17, 2018
Amanda SchramaMorgan Stanley wirehouseNuveen Asset Management, LLC mixed wealthWirehouse to independent RIAFeb 27, 2018Feb 19, 2020 (722 d)
Stephanie Kristine MuellerAdvice And Planning Services otherNuveen Asset Management, LLC otherOtherFeb 15, 2018Mar 12, 2018
Johnathon PanterMorgan Stanley wirehouseNuveen Asset Management, LLC otherOtherDec 22, 2017Jan 17, 2018
David Chase KomatzMorgan Stanley wirehouseNuveen Asset Management, LLC otherOtherNov 6, 2017Dec 19, 2017 (43 d)
Michael Patrick McelduffMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC otherOtherOct 6, 2017Apr 22, 2021 (1294 d)
Francis KowalWilliam Blair & Company L.L.C. otherNuveen Asset Management, LLC otherOtherOct 2, 2017Oct 27, 2017
Ellen Frances MccloskeyNorthern Trust Investments, Incorporated otherNuveen Asset Management, LLC mixed wealthOtherMar 22, 2017May 16, 2026 (3342 d)
James Mark PolitoBny Mellon Securities Corporation otherNuveen Asset Management, LLC otherOtherMar 20, 2017Oct 17, 2017 (211 d)
Kenneth Louis RiffleTradewinds Global Investors, LLC otherNuveen Asset Management, LLC otherOtherNov 30, 2016Aug 26, 2016
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205 moves match.