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 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.

AdvisorFromToTypeLeftRegistered
Paul Andrew BartonyPutnam Investment Management, LLC otherNuveen Fund Advisors, LLC otherOtherJun 15, 2011Jul 26, 2011 (41 d)
Mark KiernaMorgan Stanley wirehouseNuveen Fund Advisors, LLC otherOtherDec 16, 2010Jan 20, 2011 (35 d)
Adam James MyersMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Fund Advisors, LLC otherOtherNov 30, 2010Jan 5, 2011 (36 d)
Ryan De SilvaCitigroup Global Markets Inc. otherNuveen Fund Advisors, LLC otherOtherSep 15, 2010Oct 21, 2010 (36 d)
Paul A PalichukRaymond James & Associates, Inc. national BDNuveen Fund Advisors, LLC otherOtherJul 13, 2010Jul 22, 2010
Mark Edward ConnollyMorgan Stanley wirehouseNuveen Fund Advisors, LLC otherOtherJun 3, 2010May 21, 2010
Michael Bryan MccannUBS Financial Services Inc. wirehouseNuveen Fund Advisors, LLC otherOtherMay 12, 2010Jan 4, 2011 (237 d)
Daniel Robert O'KrayCredit Suisse Securities (USA) LLC otherNuveen Fund Advisors, LLC otherOtherMar 2, 2010Apr 9, 2010 (38 d)
John Harmon ScullyAllspring Funds Management, LLC otherNuveen Fund Advisors, LLC otherOtherJan 25, 2010Feb 24, 2010
Howard Edmond ReichRBC Capital Markets, LLC national BDNuveen Fund Advisors, LLC otherOtherSep 3, 2009Oct 14, 2009 (41 d)
Robert Patrick OlsonUBS Financial Services Inc. wirehouseNuveen Fund Advisors, LLC otherOtherAug 27, 2009Apr 26, 2010 (242 d)
Scott Alan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Fund Advisors, LLC otherOtherJul 31, 2009Mar 4, 2010 (216 d)
Jeffrey Dennis CarlinCharles Schwab & Co., Inc. national BDNuveen Fund Advisors, LLC otherOtherFeb 6, 2009Aug 6, 2010 (546 d)
Todd Harold KeatingRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 30, 2009Feb 6, 2009
Marion Rogers MetzbowerRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
Mark William SlevinRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
Catherine Theresa ReeseRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
Moira Salmon HuckRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 9, 2009
George Garrett MoseleyRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
William Gerard PierceRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
Karen Lynn MclaughlinRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
Jordan Michael ToepelRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
Megan L. MeadRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 27, 2009Feb 6, 2009
Marisa Beth GoldsteinRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 26, 2009Oct 21, 2002
Danielle CarnettRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 20, 2009May 22, 2002
John Patrick BroganRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 15, 2009Jan 15, 2009
Thomas Joseph AssicuratoRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJan 9, 2009Jan 9, 2009
Matthew William BorenGuggenheim Investments otherNuveen Fund Advisors, LLC otherOtherOct 21, 2008Oct 21, 2008
Lauralee SettlesOppenheimer & Co. Inc. otherNuveen Fund Advisors, LLC otherOtherOct 3, 2008Feb 13, 2009 (133 d)
Dominic Mark AltoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Fund Advisors, LLC otherOtherSep 29, 2008Oct 7, 2008
Elizabeth Lynne DeveauCitigroup Global Markets Inc. otherNuveen Fund Advisors, LLC otherOtherSep 17, 2008Oct 14, 2008
Tesa Brooke WilliamsonCitigroup Global Markets Inc. otherNuveen Fund Advisors, LLC otherOtherFeb 4, 2008Mar 5, 2008
Peter J HessBny Mellon Securities Corporation otherNuveen Fund Advisors, LLC otherOtherJan 8, 2008Jan 16, 2008
John Philip KellyBrandes Investment Partners, LP otherNuveen Fund Advisors, LLC otherOtherDec 31, 2007Apr 29, 2010 (850 d)
Patrick Thomas LevenduskyMorgan Stanley & Co. LLC unclassifiedNuveen Fund Advisors, LLC otherOtherOct 22, 2007Mar 4, 2010 (864 d)
Christen A RyanValic Financial Advisors, Inc. otherNuveen Fund Advisors, LLC otherOtherJul 27, 2007Jul 20, 2007
Michael Carl BlazeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Fund Advisors, LLC otherOtherJun 19, 2007Jul 13, 2007
Samuel James WillisAllspring Funds Management, LLC otherNuveen Fund Advisors, LLC otherOtherMay 14, 2007Jul 13, 2007 (60 d)
John Stephen GuyetLord, Abbett & Co. LLC otherNuveen Fund Advisors, LLC otherOtherApr 16, 2007Jul 16, 2007 (91 d)
Brian David MooreCitigroup Global Markets Inc. otherNuveen Fund Advisors, LLC otherOtherMar 8, 2007Jun 18, 2007 (102 d)
Bryan J. MathieRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherMar 5, 2007Jan 30, 2004
Anthony Leo GuerdetFifth Third Securities, Inc. otherNuveen Fund Advisors, LLC otherOtherJan 12, 2007Feb 28, 2007 (47 d)
Jannah F HamiltonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Fund Advisors, LLC otherOtherDec 7, 2006Jan 9, 2007 (33 d)
Benjamin Thomas KingWells Fargo Advisors wirehouseNuveen Fund Advisors, LLC otherOtherOct 20, 2006Nov 29, 2006 (40 d)
James Peter BertramAmeriprise Financial Services, LLC national BDNuveen Fund Advisors, LLC otherOtherJul 11, 2006Oct 24, 2006 (105 d)
Joshua Daniel FiedlerRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherJun 20, 2006Jan 30, 2008 (589 d)
John Walter HealyEdge Asset Management, Inc. otherNuveen Fund Advisors, LLC otherOtherApr 7, 2006Oct 4, 2006 (180 d)
Edward RheeEquitable Advisors, LLC national BDNuveen Fund Advisors, LLC otherOtherJan 25, 2006Jul 13, 2007 (534 d)
Dennis Patrick KileyFifth Third Securities, Inc. otherNuveen Fund Advisors, LLC otherOtherSep 30, 2005May 17, 2006 (229 d)
Lawrence GillumRaymond James & Associates, Inc. national BDNuveen Fund Advisors, LLC otherOtherNov 23, 2004Nov 30, 2004
Nicholas B AlbuPruco Securities, LLC otherNuveen Fund Advisors, LLC otherOtherOct 12, 2004Oct 26, 2004
Paul Bradley CitarellFisher Investments otherNuveen Fund Advisors, LLC otherOtherAug 2, 2004Aug 19, 2004
Suzanne Renee DowningRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherDec 31, 2003Jul 16, 2001
Charles William SauterNuveen Investments Advisers, LLC otherNuveen Fund Advisors, LLC otherOtherDec 31, 2003Feb 6, 2009 (1864 d)
Melissa Britton RoeRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherDec 31, 2003Aug 6, 2001
Jason Matthew SchoettmerRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherDec 31, 2003Jul 16, 2001
Robert F WarcholRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherDec 31, 2003May 30, 2002
Kenneth George RoedelRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherDec 31, 2003Jul 16, 2001
Joy Marie CrenshawRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherDec 31, 2003Jul 18, 2001
John Beatty LynchRittenhouse Asset Management, Inc. unclassifiedNuveen Fund Advisors, LLC otherOtherDec 31, 2003Jul 16, 2001
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64 moves match.