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
Brian Steven WerkmeisterNorthern Trust Investments, Incorporated asset managerNuveen Asset Management, LLC mixed wealthOtherJul 30, 2026Aug 6, 2026
Brandon Keith LopezEdward Jones national BDNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJul 8, 2026Aug 14, 2026 (37 d)
William Stephen StanoConvexitas asset managerNuveen Asset Management, LLC mixed wealthOtherJun 23, 2026Jun 24, 2026
Justine Chin WalkerLPL Financial LLC BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJun 22, 2026Aug 10, 2026 (49 d)
Abigail Joyce BuffingtonColumbia Management Investment Advisers, LLC asset managerNuveen Asset Management, LLC mixed wealthOtherJun 16, 2026Jun 24, 2026
Markus Lasse AakkoBrooklyn Investment Group, LLC otherNuveen Asset Management, LLC mixed wealthOtherMay 5, 2026May 8, 2026
Erkko Mikonpoika EtulaBrooklyn Investment Group, LLC otherNuveen Asset Management, LLC mixed wealthOtherMay 5, 2026May 27, 2026
Graham Reese SilveyAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAApr 9, 2026May 12, 2026 (33 d)
Jack Michael SchepkePerennial Financial Services independent RIANuveen Asset Management, LLC mixed wealthRIA to RIAMar 20, 2026Apr 15, 2026
Jacob Michael BugicaPrincipal Advised Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJan 26, 2026Feb 20, 2026
Morgan Elizabeth TedescoAdvisors Asset Management, Inc. mixed wealthNuveen Asset Management, LLC mixed wealthRIA to RIAOct 9, 2025Oct 16, 2025
Michael Charles SpanglerAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIASep 23, 2025Oct 24, 2025 (31 d)
Jessica Mcinnis HillLoomis, Sayles & Company, L.P. otherNuveen Asset Management, LLC mixed wealthOtherJul 11, 2025Sep 17, 2025 (68 d)
George Anthony LouresPark Avenue Securities LLC BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJun 16, 2025Sep 11, 2025 (87 d)
Harold Thomas WhalenThornburg Investment Management Inc asset managerNuveen Asset Management, LLC mixed wealthOtherMay 7, 2025Jul 23, 2025 (77 d)
Robert Troy SantAmundi Asset Management US, Inc. asset managerNuveen Asset Management, LLC mixed wealthOtherApr 25, 2025Oct 24, 2025 (182 d)
Edward Francis MurphyLPL Financial LLC BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIADec 16, 2024Dec 12, 2025 (361 d)
Gianni A CavalieriMorgan Stanley Investment Management Inc. asset managerNuveen Asset Management, LLC mixed wealthOtherOct 29, 2024Oct 24, 2025 (360 d)
Robert William BurgerAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAOct 25, 2024Mar 6, 2025 (132 d)
Robert Dino DegenaarsUBS Financial Services Inc. wirehouseNuveen Asset Management, LLC mixed wealthWirehouse to independent RIASep 17, 2024Oct 16, 2024
William Barry DisistoAllspring Funds Management, LLC asset managerNuveen Asset Management, LLC mixed wealthOtherJul 19, 2024Apr 18, 2025 (273 d)
Erik Michael PerssonAllspring Funds Management, LLC asset managerNuveen Asset Management, LLC mixed wealthOtherJun 12, 2024Jul 1, 2024
Allen Jason ReaBlackrock Fund Advisors asset managerNuveen Asset Management, LLC mixed wealthOtherMay 7, 2024May 24, 2024
Austin Alfred WeichbrodtEq Wealth Advisors independent RIANuveen Asset Management, LLC mixed wealthRIA to RIAApr 9, 2024Apr 22, 2024
Andrea Giganti BrooklierNatixis Advisors, LLC BD affiliatedNuveen Asset Management, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAMar 25, 2024Apr 4, 2024
Conor Edmund LynchMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC mixed wealthWirehouse to independent RIAMar 22, 2024Apr 22, 2024 (31 d)
Edward Joseph De ArcosBlackrock Financial Management, Inc otherNuveen Asset Management, LLC mixed wealthOtherJan 16, 2024Aug 1, 2024 (198 d)
Daniel Patrick HaskinsColumbia Management Investment Advisers, LLC asset managerNuveen Asset Management, LLC mixed wealthOtherJan 7, 2024Mar 19, 2024 (72 d)
Nathan Martin KimleNorthwest Wealth Management, LLC independent RIANuveen Asset Management, LLC otherOtherSep 7, 2023Dec 18, 2023 (102 d)
Nicole Marie DeluiseLord, Abbett & Co. LLC asset managerNuveen Asset Management, LLC otherOtherAug 17, 2023Aug 21, 2023
Angela Yuan-Yuan HouNeuberger Berman Bd LLC no RAUMNuveen Asset Management, LLC otherOtherJul 14, 2023Jul 31, 2023
John Lawrence CounahanFederated Global Investment Management Corp. asset managerNuveen Asset Management, LLC otherOtherJun 29, 2023Jul 25, 2023
John Christopher CullenNorthern Trust Investments, Incorporated asset managerNuveen Asset Management, LLC otherOtherApr 21, 2023Aug 17, 2023 (118 d)
Edmund Nicholas KanePruco Securities, LLC BD affiliatedNuveen Asset Management, LLC otherOtherMar 8, 2023Jul 24, 2023 (138 d)
John David KraunelisSchwab Wealth Advisory, Inc. no RAUMNuveen Asset Management, LLC otherOtherFeb 15, 2023Feb 24, 2023
Joseph Edward DunckerLord, Abbett & Co. LLC asset managerNuveen Asset Management, LLC otherOtherFeb 14, 2023Mar 28, 2023 (42 d)
Trigg Lewis WilliamsonMorgan Stanley wirehouseNuveen Asset Management, LLC otherOtherDec 20, 2022Feb 16, 2023 (58 d)
Timothy Joseph JacobsmeyerEdward Jones national BDNuveen Asset Management, LLC otherOtherNov 22, 2022Jan 23, 2023 (62 d)
Christopher Alan DavisAdvisory Research Inc mixed wealthNuveen Asset Management, LLC mixed wealthRIA to RIANov 10, 2022Oct 16, 2024 (706 d)
Jill Ann JensenCredit Suisse Securities (USA) LLC asset managerNuveen Asset Management, LLC otherOtherNov 2, 2022Dec 2, 2022
Anna ZholkevychCharles Schwab & Co., Inc. national BDNuveen Asset Management, LLC otherOtherOct 17, 2022Jun 1, 2023 (227 d)
Christopher James MulluceyCapital Client Group, Inc. no RAUMNuveen Asset Management, LLC otherOtherOct 14, 2022Oct 28, 2022
Bradford Ritter BraceyCnl Strategic Capital Management, LLC otherNuveen Asset Management, LLC otherOtherAug 23, 2022Mar 3, 2023 (192 d)
Young In ChoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNuveen Asset Management, LLC otherOtherAug 1, 2022Aug 19, 2022
Katrina Marie DifigliaBlackrock Investment Management, LLC otherNuveen Asset Management, LLC otherOtherJul 14, 2022Aug 12, 2022
Neil Navin AmirthaCapital Client Group, Inc. no RAUMNuveen Asset Management, LLC otherOtherJul 11, 2022Aug 26, 2022 (46 d)
Franki Ann BartoliLord, Abbett & Co. LLC asset managerNuveen Asset Management, LLC otherOtherJun 30, 2022Jul 11, 2022
Shaila Nicole MaloneyCuna Brokerage Services, Inc. BD affiliatedNuveen Asset Management, LLC otherOtherJun 24, 2022Jul 20, 2022
William Michael BeardsleyColumbia Management Investment Advisers, LLC asset managerNuveen Asset Management, LLC otherOtherJun 6, 2022Jul 13, 2022 (37 d)
Carrie Elizabeth AbbottCharles Schwab & Co., Inc. national BDNuveen Asset Management, LLC otherOtherMay 6, 2022Jul 20, 2022 (75 d)
Breanna Lynn SalasMorgan Stanley wirehouseNuveen Asset Management, LLC otherOtherApr 27, 2022Sep 6, 2023 (497 d)
Justine Chin WalkerFidelity Personal And Workplace Advisors BD affiliatedNuveen Asset Management, LLC otherOtherApr 7, 2022Apr 26, 2022
William Joseph StrattonAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC otherOtherMar 30, 2022May 10, 2022 (41 d)
Bleri BreguLPL Financial LLC independent RIANuveen Asset Management, LLC otherOtherMar 30, 2022May 26, 2022 (57 d)
Gia Marie BubnisVirtus Investment Advisers, LLC asset managerNuveen Asset Management, LLC otherOtherMar 22, 2022Apr 18, 2022
Nicholas Charles LiberiCapital Client Group, Inc. no RAUMNuveen Asset Management, LLC otherOtherMar 14, 2022Aug 1, 2022 (140 d)
Corey JohnsonAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC otherOtherMar 2, 2022Mar 8, 2022
Gregory Scott GoschSawgrass Asset Management LLC otherNuveen Asset Management, LLC otherOtherMar 2, 2022Mar 8, 2022
Mitchell Robert MccrayStifel, Nicolaus & Company, Incorporated national BDNuveen Asset Management, LLC otherOtherMar 2, 2022Mar 11, 2022
Robert Alexander CannonAdvice And Planning Services BD affiliatedNuveen Asset Management, LLC otherOtherFeb 4, 2022Nov 21, 2022 (290 d)
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205 moves match.