Nuveen Asset Management, Llc
SEC-registered
Investment Adviser · Mega ($100B+)
CRD 155584
· SEC file 801-71957
· Chicago, IL
· WWW.LINKEDIN.COM
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ADV data as of Mar 24, 2026
- Regulatory AUM
- $280B
- Discretionary
- $280B
- Clients
- 65,258
- Avg AUM / client
- $4.3M
- Accounts
- 65,258
- Employees
- 381
AUM over time
$100B
$298B
Nov 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Asset allocation (SMA assets by investment type)
as of Mar 24, 2026
State & local bonds
$199B
71%
Investment-grade corporate bonds
$28.0B
10%
Exchange-traded equities
$16.8B
6%
US government & agency bonds
$11.2B
4%
Non-investment-grade bonds
$5.6B
2%
Registered investment companies (funds/ETFs)
$5.6B
2%
Cash & equivalents
$5.6B
2%
Other
$5.6B
2%
Sovereign bonds
$2.8B
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Investments (13F portfolio — 3,324 positions, $354,087,219,906)
13F period Dec 31, 2024| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Microsoft Corp | COM | $21,256,423,711 | 50,430,424 | 6.0% | 7.58% |
| 2 | Nvidia Corporation | COM | $20,512,373,413 | 152,746,842 | 5.79% | 7.31% |
| 3 | Apple Inc | COM | $20,079,054,851 | 80,181,514 | 5.67% | 7.16% |
| 4 | Amazon Com Inc | COM | $13,764,862,116 | 62,741,520 | 3.89% | 4.91% |
| 5 | Broadcom Inc | COM | $9,040,794,911 | 38,995,837 | 2.55% | 3.22% |
| 6 | Meta Platforms Inc | CL A | $8,264,018,709 | 14,114,223 | 2.33% | 2.95% |
| 7 | Alphabet Inc | CAP STK CL C | $5,638,495,459 | 29,607,727 | 1.59% | 2.01% |
| 8 | Tesla Inc | COM | $5,294,010,444 | 13,109,178 | 1.5% | 1.89% |
| 9 | Alphabet Inc | CAP STK CL A | $5,013,338,572 | 26,483,564 | 1.42% | 1.79% |
| 10 | Eli Lilly & Co | COM | $4,017,020,894 | 5,203,395 | 1.13% | 1.43% |
| 11 | Mastercard Incorporated | CL A | $4,007,373,035 | 7,610,333 | 1.13% | 1.43% |
| 12 | Jpmorgan Chase & Co. | COM | $3,827,267,456 | 15,966,240 | 1.08% | 1.36% |
| 13 | Unitedhealth Group Inc | COM | $3,605,185,949 | 7,126,845 | 1.02% | 1.29% |
| 14 | Costco Whsl Corp New | COM | $3,210,045,658 | 3,503,384 | 0.91% | 1.14% |
| 15 | Visa Inc | COM CL A | $3,192,149,043 | 10,100,459 | 0.9% | 1.14% |
| 16 | Salesforce Inc | COM | $2,874,899,992 | 8,598,989 | 0.81% | 1.02% |
| 17 | Nushares Etf Tr | GET OPP ETF | $2,780,492,469 | 80,361,054 | 0.79% | 0.99% |
| 18 | Walmart Inc | COM | $2,696,395,657 | 29,843,892 | 0.76% | 0.96% |
| 19 | Berkshire Hathaway Inc Del | CL B NEW | $2,627,099,373 | 5,795,754 | 0.74% | 0.94% |
| 20 | Exxon Mobil Corp | COM | $2,485,015,114 | 23,101,377 | 0.7% | 0.89% |
| 21 | Servicenow Inc | COM | $2,484,752,106 | 2,343,840 | 0.7% | 0.89% |
| 22 | Home Depot Inc | COM | $2,249,768,115 | 5,783,614 | 0.64% | 0.8% |
| 23 | Netflix Inc | COM | $2,059,326,140 | 2,310,423 | 0.58% | 0.73% |
| 24 | Linde Plc | SHS | $2,051,093,083 | 4,899,069 | 0.58% | 0.73% |
| 25 | Booking Holdings Inc | COM | $1,992,847,021 | 401,102 | 0.56% | 0.71% |
Top 25 of 3,324 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 48,733 | $19.7B | 7.02% |
| High net worth individuals | 13,864 | $40.0B | 14.3% |
| Banking or thrift institutions | 4 | $1.1M | 0.0% |
| Investment companies | 138 | $140B | 50.0% |
| Pooled investment vehicles (non-investment companies) | 188 | $44.4B | 15.8% |
| Pension and profit sharing plans | 106 | $7.2B | 2.58% |
| Charitable organizations | 119 | $500M | 0.18% |
| State or municipal government entities | 44 | $1.9B | 0.68% |
| Insurance companies | 33 | $16.1B | 5.73% |
| Corporations and other businesses | 2,029 | $10.5B | 3.74% |
Private funds (30)
View all →Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $7.4B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Nuveen Senior Loan Fund, Lp | Other Private Fund | Delaware | $588M | 19 |
| Symphony Clo Xxvi, Ltd. | Securitized Asset Fund | Cayman Islands | $568M | 5 |
| Symphony Clo Xv, Ltd. | Securitized Asset Fund | Cayman Islands | $560M | 3 |
| California Street Clo Ix Limited Partnership | Securitized Asset Fund | Cayman Islands | $555M | 1 |
| Nuveen Corporate Arbitrage And Relative Value Fund, L.P. | Hedge Fund | Delaware | $506M | 5 |
| Symphony Clo Xix, Ltd. | Securitized Asset Fund | Cayman Islands | $457M | 6 |
| Symphony Clo Xviii, Ltd. | Securitized Asset Fund | Cayman Islands | $428M | 2 |
| Nuveen High Yield Municipal Opportunities Master Fund Lp master | Hedge Fund | Delaware | $406M | 752 |
| Nuveen High Yield Municipal Opportunities Fund Lp feeder | Hedge Fund | Delaware | $401M | 752 |
| Symphony Clo Xx, Ltd. | Securitized Asset Fund | Cayman Islands | $386M | 3 |
| Symphony Clo Xxii, Ltd. | Securitized Asset Fund | Cayman Islands | $386M | 2 |
| Symphony Clo Xxi, Ltd. | Securitized Asset Fund | Cayman Islands | $382M | 2 |
| Symphony Clo Xvi, Ltd | Securitized Asset Fund | Cayman Islands | $375M | 3 |
| Nuveen Clo Issuance Fund, Lp | Hedge Fund | Cayman Islands | $331M | 102 |
| Symphony Clo Xvii, Ltd. | Securitized Asset Fund | Cayman Islands | $181M | 6 |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Ameren Management Health Trust EIN 043294272 | Saint Louis, MO | 12/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Cement Masons Pension Trust Fund Detroit And Vicinity Joint Board Of Trustees Cement Masons Pension Trust Fund Detroit | 2024 | |
| Walmart 401(k) Plan Walmart Inc. | 2024 | |
| Amalgamated Sugar Company Salaried Retirement Plan Amalgamated Sugar Company | 2024 | |
| Jpmorgan Chase Retirement Plan Jpmorgan Chase Bank, National Association | 2024 | |
| Pacific Gas And Electric Company Retirement Plan Pacific Gas And Electric Company | 2024 | |
| The Travelers Pension Plan Travelers Companies, Inc. | 2024 | |
| Pension Fund Of Heat And Frost Insulators Local 12 Board Of Trustees Pension Fund Of Heat And Frost Insulators Local 12 | 2024 |
People (265)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Huffman, William, T | President | Dec 2010 (16y) | Less than 5% | |
| Cohen, Stuart, Jona | Managing Director, Head Of Legal | Mar 2018 (8y) | Less than 5% | |
| Stevens, Jon, Mitchell | Senior Managing Director | Mar 2019 (7y) | Less than 5% | |
| Sendlak, Megan, Eileen | Controller | Nov 2020 (6y) | Less than 5% | |
| Pauley, Travis, Martin | Chief Compliance Officer | Jan 2021 (6y) | Less than 5% | |
| Malik, Saira, Ann | Executive Vice President | Jul 2024 (2y) | Less than 5% | |
| Francesco Cristiano | Registered representative | Nov 2010 (16y) | ||
| Andrew Philip Haas | Registered representative | Apr 2011 (15y) | ||
| Derek S Wolff | Registered representative | May 2011 (15y) | ||
| Adam James Myers | Registered representative | CFP | Sep 2011 (15y) | |
| Andrew Champ | Registered representative | Sep 2011 (15y) | ||
| Andrew Joseph Luberto | Registered representative | Sep 2011 (15y) | ||
| Christopher Gerard Barron | Registered representative | Sep 2011 (15y) | ||
| Christopher Paul Mayer | Registered representative | Sep 2011 (15y) | ||
| Darniel London | Registered representative | Sep 2011 (15y) | ||
| Eric B Cibula | Registered representative | Sep 2011 (15y) | ||
| James Brendan Gorrell | Registered representative | Sep 2011 (15y) | ||
| Jannah F Hamilton | Registered representative | Sep 2011 (15y) | ||
| Jeffrey Dennis Carlin | Registered representative | CFA | Sep 2011 (15y) | |
| John Harmon Scully | Registered representative | Sep 2011 (15y) | ||
| Joy Marie Crenshaw | Registered representative | Sep 2011 (15y) | ||
| Keith Thomas Albertina | Registered representative | Sep 2011 (15y) | ||
| Lauralee Settles | Registered representative | Sep 2011 (15y) | ||
| Mark Edward Connolly | Registered representative | Sep 2011 (15y) | ||
| Mark William Slevin | Registered representative | Sep 2011 (15y) | ||
| Meghann Elizabeth Peterson | Registered representative | Sep 2011 (15y) | ||
| Michael R Ianni | Registered representative | Sep 2011 (15y) | ||
| Nicholas B Albu | Registered representative | Sep 2011 (15y) | ||
| Paul A Palichuk | Registered representative | Sep 2011 (15y) | ||
| Paul Andrew Bartony | Registered representative | Sep 2011 (15y) | ||
| Randy Peter Kutchek | Registered representative | Sep 2011 (15y) | ||
| Raymond Allen Olson | Registered representative | Sep 2011 (15y) | ||
| Richard Andrew Charchek | Registered representative | Sep 2011 (15y) | ||
| Richard William Baur | Registered representative | Sep 2011 (15y) | ||
| Samantha Pellin Ospelt | Registered representative | Sep 2011 (15y) | ||
| Suzanne Renee Downing | Registered representative | Sep 2011 (15y) | ||
| Thomas Joseph Assicurato | Registered representative | Sep 2011 (15y) | ||
| Victoria Vyacheslavovna Fisher | Registered representative | Sep 2011 (15y) | ||
| Julie Marie Mcguire | Registered representative | Nov 2011 (15y) | ||
| Stuart Blumenthal | Registered representative | Mar 2012 (14y) | ||
| Lauren Oleary Champ | Registered representative | Mar 2012 (14y) | ||
| Mark Aburano Meister | Registered representative | Jul 2012 (14y) | ||
| Brittany Siegel | Registered representative | Jan 2013 (14y) | ||
| Alan Michael Papier | Registered representative | CFA | Mar 2013 (13y) | |
| Danica Catherine Ness Chilson | Registered representative | May 2013 (13y) | ||
| Matthew Obrien White | Registered representative | Jun 2013 (13y) | ||
| Ryan Owen Illingworth | Registered representative | Sep 2013 (13y) | ||
| Brian A Kentfield | Registered representative | Mar 2014 (12y) | ||
| John William Abe | Registered representative | Mar 2014 (12y) | ||
| Chadwick Forrest Givens | Registered representative | Jul 2014 (12y) | ||
| Patricia Regnitz | Registered representative | Sep 2014 (12y) | ||
| Peter Drebos | Registered representative | Nov 2014 (12y) | ||
| James John Campbell | Registered representative | Feb 2015 (11y) | ||
| Jonathon Robert Scardina | Registered representative | Apr 2015 (11y) | ||
| Kristen Goodman | Registered representative | CFA | Apr 2015 (11y) | |
| Andrew Michael Combs | Registered representative | May 2015 (11y) | ||
| Margaret Catherine Thomsen | Registered representative | Jul 2015 (11y) | ||
| Jeffrey R Stanley | Registered representative | Jul 2015 (11y) | ||
| Rebecca Ruth Harris | Registered representative | Aug 2015 (11y) | ||
| Daniel R Chambers | Registered representative | Sep 2015 (11y) | ||
| David Maurice Flaherty | Registered representative | Oct 2015 (11y) | ||
| Douglas James Trinkl | Registered representative | Nov 2015 (11y) | ||
| Mark Lawrence Canale | Registered representative | Dec 2015 (11y) | ||
| Matthew John Nealon | Registered representative | Mar 2016 (10y) | ||
| James Patrick Farrar | Registered representative | Apr 2016 (10y) | ||
| Robert Neil Wood | Registered representative | Apr 2016 (10y) | ||
| Lisa Anne Segner | Registered representative | May 2016 (10y) | ||
| Charles P Graves | Registered representative | Jun 2016 (10y) | ||
| Luke Geary Joyce | Registered representative | Aug 2016 (10y) | ||
| Daniel Patrick Driscoll | Registered representative | Aug 2016 (10y) | ||
| Shaun Michael Perini | Registered representative | Nov 2016 (10y) | ||
| Sayuri Khandavilli | Registered representative | Jan 2017 (10y) | ||
| Jeffrey Curry Smith | Registered representative | Jan 2017 (10y) | ||
| David Michael Barnd | Registered representative | Jan 2017 (10y) | ||
| Eva Elizabeth Calabrese | Registered representative | May 2017 (9y) | ||
| Kelsey Rose Spirz | Registered representative | May 2017 (9y) | ||
| James Mark Polito | Registered representative | Oct 2017 (9y) | ||
| Riley Steven Just | Registered representative | Oct 2017 (9y) | ||
| Francis Kowal | Registered representative | Oct 2017 (9y) | ||
| David Chase Komatz | Registered representative | Dec 2017 (9y) | ||
| Stephanie Kristine Mueller | Registered representative | Mar 2018 (8y) | ||
| Brian John Cullen | Registered representative | May 2018 (8y) | ||
| Melissa Mcadam Orr | Registered representative | Jul 2018 (8y) | ||
| Sarah Marie Johnson | Registered representative | Jul 2018 (8y) | ||
| Bridget Louise Wingels | Registered representative | Dec 2018 (8y) | ||
| Dena Capitani | Registered representative | Dec 2018 (8y) | ||
| John William Watson | Registered representative | Mar 2019 (7y) | ||
| Juan Jose Lopez | Registered representative | May 2019 (7y) | ||
| Patrick Mc Gowan | Registered representative | May 2019 (7y) | ||
| Edwin Belogorlov | Registered representative | May 2019 (7y) | ||
| Elizabeth Dangremond | Registered representative | Jul 2019 (7y) | ||
| Stacie Fincher Tepatti | Registered representative | Jul 2019 (7y) | ||
| Patrick Bowden | Registered representative | Sep 2019 (7y) | ||
| Jacob Brandolino | Registered representative | Oct 2019 (7y) | ||
| Luis Alejandro Pelaez | Registered representative | CFP | Oct 2019 (7y) | |
| Joseph Tyler Bugeja | Registered representative | Oct 2019 (7y) | ||
| Jennifer Rolfson | Registered representative | Nov 2019 (7y) | ||
| Travis James Schantz | Registered representative | Jan 2020 (7y) | ||
| John Draths | Registered representative | Feb 2020 (6y) | ||
| Valerie Nicole Georgelos | Registered representative | May 2020 (6y) | ||
| Lisa Zard | Registered representative | Jun 2020 (6y) | ||
| Spencer Maxwell Dalton | Registered representative | Aug 2020 (6y) | ||
| Dennis Patrick Kiley | Registered representative | Sep 2020 (6y) | ||
| Charles Devin Hamilton | Registered representative | Oct 2020 (6y) | ||
| Nathan Stegman | Registered representative | Nov 2020 (6y) | ||
| Joseph Rayfield Level | Registered representative | Nov 2020 (6y) | ||
| Bradford Lee Rowbotham | Registered representative | Dec 2020 (6y) | ||
| Amanjot Singh Bhatti | Registered representative | Dec 2020 (6y) | ||
| Dominika Gergely | Registered representative | Dec 2020 (6y) | ||
| Sultana Hideko Megalos | Registered representative | Jan 2021 (6y) | ||
| Roman Gabriel Padilla | Registered representative | Jan 2021 (6y) | ||
| Jon Robert Throndson | Registered representative | Jan 2021 (6y) | ||
| Whitney Rachel Vaughn | Registered representative | Jan 2021 (6y) | ||
| Brian Thomas Essig | Registered representative | Jan 2021 (6y) | ||
| Craig Cook | Registered representative | Jan 2021 (6y) | ||
| Thomas Hunter Mc Bride | Registered representative | Mar 2021 (5y) | ||
| Jeffrey Tin Tran | Registered representative | Mar 2021 (5y) | ||
| Laura Rebecca Stolfi | Registered representative | Mar 2021 (5y) | ||
| Kenneth George Roedel | Registered representative | Apr 2021 (5y) | ||
| Madelyn Audena Palomeque | Registered representative | Apr 2021 (5y) | ||
| Michael Patrick Mc Elduff | Registered representative | Apr 2021 (5y) | ||
| Arabelle Caroline Fedora Parker | Registered representative | May 2021 (5y) | ||
| Tyler Weathered | Registered representative | Jul 2021 (5y) | ||
| Spencer Redmond Williams | Registered representative | Jul 2021 (5y) | ||
| Tracy Ann Morante Robeniol | Registered representative | Sep 2021 (5y) | ||
| Abraham L Watman | Registered representative | Sep 2021 (5y) | ||
| Brian John Davis | Registered representative | Oct 2021 (5y) | ||
| Paul Matthew Kennedy | Registered representative | Oct 2021 (5y) | ||
| Frederick Charles Pickard | Registered representative | Oct 2021 (5y) | ||
| Vikrant Nahal Arya | Registered representative | Oct 2021 (5y) | ||
| Robert Earl Singletary | Registered representative | Nov 2021 (5y) | ||
| Taku Miyashita | Registered representative | Dec 2021 (5y) | ||
| Sean Patrick Cribbin | Registered representative | Dec 2021 (5y) | ||
| Edward N Lamson | Registered representative | Jan 2022 (5y) | ||
| Eric S. Erway | Registered representative | CFA | Jan 2022 (5y) | |
| James Joseph Penney | Registered representative | Jan 2022 (5y) | ||
| Gregory Scott Gosch | Registered representative | Mar 2022 (4y) | ||
| Mitchell Robert Mc Cray | Registered representative | Mar 2022 (4y) | ||
| Stephen Anthony Porco | Registered representative | Mar 2022 (4y) | ||
| Michael James Gooch | Registered representative | Mar 2022 (4y) | ||
| Gia Marie Bubnis | Registered representative | Apr 2022 (4y) | ||
| William Joseph Stratton | Registered representative | May 2022 (4y) | ||
| Caroline Elizabeth O'day | Registered representative | May 2022 (4y) | ||
| Michael James Meehan | Registered representative | May 2022 (4y) | ||
| Chase William Kwit | Registered representative | Jun 2022 (4y) | ||
| Kerry A Noonan | Registered representative | Jun 2022 (4y) | ||
| Franki Ann Bartoli | Registered representative | Jul 2022 (4y) | ||
| William Francis Wilkinson | Registered representative | Jul 2022 (4y) | ||
| William Michael Beardsley | Registered representative | Jul 2022 (4y) | ||
| Carrie Elizabeth Abbott | Registered representative | Jul 2022 (4y) | ||
| Rachel Ann Few | Registered representative | Jul 2022 (4y) | ||
| Jack W Arcara | Registered representative | Aug 2022 (4y) | ||
| Kortez L Brinson | Registered representative | Aug 2022 (4y) | ||
| Michael Joseph Caserio | Registered representative | Aug 2022 (4y) | ||
| Nicholas Charles Liberi | Registered representative | Aug 2022 (4y) | ||
| Michael Daniel Wisinski | Registered representative | Aug 2022 (4y) | ||
| Katrina Marie Di Figlia | Registered representative | Aug 2022 (4y) | ||
| Nathanael Pennington Jones | Registered representative | Aug 2022 (4y) | ||
| Young In Cho | Registered representative | Aug 2022 (4y) | ||
| Nicholas James Biancalana | Registered representative | Aug 2022 (4y) | ||
| Erika Leslie Brekke Zabler | Registered representative | Aug 2022 (4y) | ||
| Neil Navin Amirtha | Registered representative | Aug 2022 (4y) | ||
| Stone A Eckenrode | Registered representative | Aug 2022 (4y) | ||
| Jacob M Solomon | Registered representative | Aug 2022 (4y) | ||
| Emily E Duffy | Registered representative | Sep 2022 (4y) | ||
| Paola A Chavez | Registered representative | Sep 2022 (4y) | ||
| Brian L Bere | Registered representative | Sep 2022 (4y) | ||
| John Keane Mc Mahon | Registered representative | Sep 2022 (4y) | ||
| Helen S Smith | Registered representative | Oct 2022 (4y) | ||
| Christopher James Mullucey | Registered representative | Oct 2022 (4y) | ||
| Jill Ann Jensen | Registered representative | Dec 2022 (4y) | ||
| Paul Thomas Prikos | Registered representative | Dec 2022 (4y) | ||
| Stephen Lopez | Registered representative | Jan 2023 (4y) | ||
| Christopher Rayburn Wylie | Registered representative | Jan 2023 (4y) | ||
| Timothy Joseph Jacobsmeyer | Registered representative | Jan 2023 (4y) | ||
| Bradford Ritter Bracey | Registered representative | Mar 2023 (3y) | ||
| Joseph Edward Duncker | Registered representative | Mar 2023 (3y) | ||
| Anna Zholkevych | Registered representative | Jun 2023 (3y) | ||
| John Scott Ellspermann | Registered representative | Jun 2023 (3y) | ||
| Justin Malik Robinson | Registered representative | Jun 2023 (3y) | ||
| Patrick Todd Crawley | Registered representative | Jul 2023 (3y) | ||
| Edmund Nicholas Kane | Registered representative | Jul 2023 (3y) | ||
| John Lawrence Counahan | Registered representative | Jul 2023 (3y) | ||
| Angela Yuan Yuan Hou | Registered representative | Jul 2023 (3y) | ||
| John Christopher Cullen | Registered representative | Aug 2023 (3y) | ||
| Nicole Marie De Luise | Registered representative | Aug 2023 (3y) | ||
| Breanna Lynn Salas | Registered representative | Sep 2023 (3y) | ||
| George Galkine | Registered representative | Sep 2023 (3y) | ||
| Hannah C Selbst | Registered representative | Oct 2023 (3y) | ||
| Simon Lee Sossoman | Registered representative | Oct 2023 (3y) | ||
| Eric Jacobs Foster | Registered representative | Dec 2023 (3y) | ||
| Kylie Nicole Hambleton | Registered representative | Dec 2023 (3y) | ||
| Sylvia S Ryba | Registered representative | Dec 2023 (3y) | ||
| Daniel Patrick Haskins | Registered representative | Mar 2024 (2y) | ||
| Brendan David Burke | Registered representative | Mar 2024 (2y) | ||
| Andrea Giganti Brooklier | Registered representative | Apr 2024 (2y) | ||
| Austin Alfred Weichbrodt | Registered representative | Apr 2024 (2y) | ||
| Conor Edmund Lynch | Registered representative | Apr 2024 (2y) | ||
| Sarah Marie Hyndiuk | Registered representative | May 2024 (2y) | ||
| Allen Jason Rea | Registered representative | May 2024 (2y) | ||
| Katherine Ann Salvaterra | Registered representative | Jun 2024 (2y) | ||
| Erik Michael Persson | Registered representative | Jul 2024 (2y) | ||
| Jalen Voshon Hill | Registered representative | Jul 2024 (2y) | ||
| Edward Joseph De Arcos | Registered representative | Aug 2024 (2y) | ||
| George Bennett De Bates | Registered representative | Aug 2024 (2y) | ||
| Kevin Peter Farrell | Registered representative | Aug 2024 (2y) | ||
| Matthew Alan Cruse | Registered representative | Aug 2024 (2y) | ||
| Sean Brooks Jones | Registered representative | Sep 2024 (2y) | ||
| Christopher Alan Davis | Registered representative | Oct 2024 (2y) | ||
| Robert Dino Degenaars | Registered representative | Oct 2024 (2y) | ||
| Marlon Condredge Spain | Registered representative | Oct 2024 (2y) | ||
| Ashley Miranda Angulo | Registered representative | Oct 2024 (2y) | ||
| Nicholas Malcolm Henry | Registered representative | Oct 2024 (2y) | ||
| William Newsome Stutenroth | Registered representative | Dec 2024 (2y) | ||
| Nicole Catherine Burgo | Registered representative | Jan 2025 (2y) | ||
| Loretta Patricia Villacorta | Registered representative | Jan 2025 (2y) | ||
| Robert William Burger | Registered representative | Mar 2025 (1y) | ||
| William Barry Di Sisto | Registered representative | Apr 2025 (1y) | ||
| Thomas Scotten Werner | Registered representative | Jun 2025 (1y) | ||
| Harold Thomas Whalen | Registered representative | Jul 2025 (1y) | ||
| Luis Ricardo Arispe | Registered representative | Aug 2025 (1y) | ||
| Benjamin Schneider | Registered representative | Aug 2025 (1y) | ||
| Brian Christian Lang | Registered representative | Aug 2025 (1y) | ||
| James Marshall Dawson | Registered representative | Aug 2025 (1y) | ||
| George Anthony Loures | Registered representative | Sep 2025 (1y) | ||
| Jessica Mc Innis Hill | Registered representative | Sep 2025 (1y) | ||
| Morgan Elizabeth Tedesco | Registered representative | Oct 2025 (1y) | ||
| Gianni A Cavalieri | Registered representative | Oct 2025 (1y) | ||
| Michael Charles Spangler | Registered representative | Oct 2025 (1y) | ||
| Robert Troy Sant | Registered representative | Oct 2025 (1y) | ||
| Kyle Patrick Helton | Registered representative | Nov 2025 (1y) | ||
| Edward Francis Murphy | Registered representative | Dec 2025 (1y) | ||
| Anthony Leo Guerdet | Registered representative | Dec 2025 (1y) | ||
| Charles William Sauter | Registered representative | Dec 2025 (1y) | ||
| Christopher Lee Perry | Registered representative | Dec 2025 (1y) | ||
| David Alan Buehring | Registered representative | Dec 2025 (1y) | ||
| George Garrett Moseley | Registered representative | Dec 2025 (1y) | ||
| James Roy Woodfin | Registered representative | Dec 2025 (1y) | ||
| John Mark Stanley | Registered representative | Dec 2025 (1y) | ||
| Karen Elizabeth Lutomski | Registered representative | Dec 2025 (1y) | ||
| Moira Salmon Huck | Registered representative | Dec 2025 (1y) | ||
| Robert Joseph Shea | Registered representative | Dec 2025 (1y) | ||
| Robert Oliver Kron | Registered representative | Jan 2026 (1y) | ||
| Andrew Joel Mc Allister | Registered representative | Jan 2026 (1y) | ||
| Henriette Kathrin Johanna Schmuck | Registered representative | Jan 2026 (1y) | ||
| Nicolaas Alexander Arizini | Registered representative | Feb 2026 (0y) | ||
| Jacob Michael Bugica | Registered representative | Feb 2026 (0y) | ||
| Morgan Alexis Romo | Registered representative | Mar 2026 (0y) | ||
| Jack Michael Carroll | Registered representative | Apr 2026 (0y) | ||
| Abdoul Aziz Diouf | Registered representative | Apr 2026 (0y) | ||
| Jacob Daniel Nied | Registered representative | Apr 2026 (0y) | ||
| Claudia Helene Kelly | Registered representative | Apr 2026 (0y) | ||
| Jack Michael Schepke | Registered representative | Apr 2026 (0y) | ||
| Nicholas Maxwell Girouard | Registered representative | Apr 2026 (0y) | ||
| Ryan Christopher Paglia | Registered representative | Apr 2026 (0y) | ||
| Markus Lasse Aakko | Registered representative | CFA | May 2026 (0y) | |
| Graham Reese Silvey | Registered representative | May 2026 (0y) | ||
| Ellen Frances Mc Closkey | Registered representative | May 2026 (0y) | ||
| John William Hennessey | Registered representative | May 2026 (0y) | ||
| Halle Douglass | Registered representative | May 2026 (0y) | ||
| Erkko Mikonpoika Etula | Registered representative | May 2026 (0y) | ||
| Abigail Joyce Buffington | Registered representative | Jun 2026 (0y) | ||
| William Stephen Stano | Registered representative | Jun 2026 (0y) | ||
| Cooper James Tunney | Registered representative | Jun 2026 (0y) | ||
| Kyle Richard Budd | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nuveen Fund Advisors, Llc | Managing Member | Dec 2010 | A | 75% or more |
| Nuveen Investments, Inc. | Managing Member | Dec 2010 | B | ≈ 56.25% – 100% via Nuveen Fund Advisors, Llc |
| Nuveen Holdings, Inc. | Shareholder | Nov 2007 | B | ≈ 42.19% – 100% via Nuveen Investments, Inc. |
| Nuveen Finance, Llc | Shareholder | Jan 2017 | B | ≈ 23.73% – 100% via Nuveen Holdings 1, Inc. |
| Nuveen, Llc | Member | Oct 2014 | B | ≈ 17.8% – 100% via Nuveen Finance, Llc |
| Teachers Insurance And Annuity Association Of America | Member | Oct 2014 | B | ≈ 13.35% – 100% via Nuveen, Llc |
| Tiaa Board Of Governers | Shareholder | Oct 2014 | B | ≈ 10.01% – 100% via Teachers Insurance And Annuity Association Of America |
| Nuveen Holdings 1, Inc. | Shareholder | Jan 2017 | B | ≈ 31.64% – 100% via Nuveen Holdings, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Nuveen Investments, Inc.: 75% – 100% of Nuveen Fund Advisors, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Nuveen Holdings, Inc.: 75% – 100% of Nuveen Investments, Inc. × 75% – 100% of Nuveen Fund Advisors, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Nuveen Finance, Llc: 75% – 100% of Nuveen Holdings 1, Inc. × 75% – 100% of Nuveen Holdings, Inc. × 75% – 100% of Nuveen Investments, Inc. × 75% – 100% of Nuveen Fund Advisors, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Nuveen, Llc: 75% – 100% of Nuveen Finance, Llc × 75% – 100% of Nuveen Holdings 1, Inc. × 75% – 100% of Nuveen Holdings, Inc. × 75% – 100% of Nuveen Investments, Inc. × 75% – 100% of Nuveen Fund Advisors, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Teachers Insurance And Annuity Association Of America: 75% – 100% of Nuveen, Llc × 75% – 100% of Nuveen Finance, Llc × 75% – 100% of Nuveen Holdings 1, Inc. × 75% – 100% of Nuveen Holdings, Inc. × 75% – 100% of Nuveen Investments, Inc. × 75% – 100% of Nuveen Fund Advisors, Llc × 75% – 100% direct ≈ 13.35% – 100% of the firm
- Tiaa Board Of Governers: 75% – 100% of Teachers Insurance And Annuity Association Of America × 75% – 100% of Nuveen, Llc × 75% – 100% of Nuveen Finance, Llc × 75% – 100% of Nuveen Holdings 1, Inc. × 75% – 100% of Nuveen Holdings, Inc. × 75% – 100% of Nuveen Investments, Inc. × 75% – 100% of Nuveen Fund Advisors, Llc × 75% – 100% direct ≈ 10.01% – 100% of the firm
- Nuveen Holdings 1, Inc.: 75% – 100% of Nuveen Holdings, Inc. × 75% – 100% of Nuveen Investments, Inc. × 75% – 100% of Nuveen Fund Advisors, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (30, $7.4B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Nuveen Senior Loan Fund, Lp | Other Private Fund | $588M | $5.0M | 19 |
| Symphony Clo Xxvi, Ltd. | Securitized Asset Fund | $568M | $250K | 5 |
| Symphony Clo Xv, Ltd. | Securitized Asset Fund | $560M | $250K | 3 |
| California Street Clo Ix Limited Partnership | Securitized Asset Fund | $555M | $500K | 1 |
| Nuveen Corporate Arbitrage And Relative Value Fund, L.P. | Hedge Fund | $506M | $5.0M | 5 |
| Symphony Clo Xix, Ltd. | Securitized Asset Fund | $457M | $250K | 6 |
| Symphony Clo Xviii, Ltd. | Securitized Asset Fund | $428M | $250K | 2 |
| Nuveen High Yield Municipal Opportunities Master Fund Lp | Hedge Fund | $406M | $250K | 752 |
| Nuveen High Yield Municipal Opportunities Fund Lp | Hedge Fund | $401M | $250K | 752 |
| Symphony Clo Xx, Ltd. | Securitized Asset Fund | $386M | $250K | 3 |
| Symphony Clo Xxii, Ltd. | Securitized Asset Fund | $386M | $250K | 2 |
| Symphony Clo Xxi, Ltd. | Securitized Asset Fund | $382M | $250K | 2 |
| Symphony Clo Xvi, Ltd | Securitized Asset Fund | $375M | $250K | 3 |
| Nuveen Clo Issuance Fund, Lp | Hedge Fund | $331M | $5.0M | 102 |
| Symphony Clo Xvii, Ltd. | Securitized Asset Fund | $181M | $250K | 6 |
| Nuveen Clo Opportunities Fund, Lp | Hedge Fund | $165M | $5.0M | 1 |
| Nuveen Clo Opportunities Master Fund Lp | Hedge Fund | $165M | $5.0M | 1 |
| Nuveen Municipal Opportunities Master Fund Lp | Hedge Fund | $127M | $250K | 182 |
| Nuveen Municipal Opportunities Fund Lp | Hedge Fund | $126M | $250K | 182 |
| International Fund, Llc | Hedge Fund | $115M | $2.0M | 3 |
| Nuveen Clo Issuance Fund Ii, Lp | Hedge Fund | $91.2M | $5.0M | 14 |
| Nuveen High Yield Income Fund, Lp | Other Private Fund | $62.3M | $5.0M | 6 |
| Nuveen Clo Issuance Feeder Fund Ii, Lp | Hedge Fund | $50.5M | $5.0M | 9 |
| Nuveen Long Short Credit Fund, Lp | Hedge Fund | $17.9M | $5.0M | 3 |
| Scof 2 Ltd. | Securitized Asset Fund | $1.5M | $0 | 1 |
Top 25 of 30 funds by gross assets · all funds
From Form ADV Section 7.B private fund reporting.
Retirement plans served (7)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cement Masons Pension Trust Fund Detroit And Vicinity | Joint Board Of Trustees Cement Masons Pension Trust Fund Detroit | 571 | $108M | 05/01/2024 |
| Walmart 401(k) Plan | Walmart Inc. | 1,670,732 | $50.8B | 02/01/2024 |
| Amalgamated Sugar Company Salaried Retirement Plan | Amalgamated Sugar Company | 0 | $0 | 01/01/2024 |
| Jpmorgan Chase Retirement Plan | Jpmorgan Chase Bank, National Association | 78,270 | $16.1B | 01/01/2024 |
| Pacific Gas And Electric Company Retirement Plan | Pacific Gas And Electric Company | 28,573 | $17.6B | 01/01/2024 |
| The Travelers Pension Plan | Travelers Companies, Inc. | 27,531 | $4.2B | 01/01/2024 |
| Pension Fund Of Heat And Frost Insulators Local 12 | Board Of Trustees Pension Fund Of Heat And Frost Insulators Local 12 | 391 | $155M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Ameren Management Health Trust | Public charity | $518M | 12/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 8.08 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2), 11.D(4)
as of Jul 31, 2024
Allegations: ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF CONNECTICUT INSURANCE LAWS. Status: Final Sanction Detail: IN 2014, THE CONNECTICUT INSURANCE DEPARTMENT (CID) REVIEWED TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA (TIAA) RECORDS OF LICENSED /APPOINTED PRODUCERS AND INSURANCE DEPARTMENT RECORDS AND IDENTIFIED ONE (1) INDIVIDUAL EMPLOYEE WHO DID NOT HAVE AN APPOINTMENT WITH TIAA IN ACCORDANCE WITH CONNECTICUT STATE REQUIREMENTS. THE CID CONCLUDED THAT THE CONDUCT VIOLATED SECTION 38A-702M OF THE CONNECTICUT GENERAL STATUTES AND IMPOSED A FINE OR ADMINISTRATIVE FINE ON TIAA FOR THE VIOLATION IN THE AMOUNT OF $1,500 PURSUANT TO SECTIONS 38A-2, 38A-41 AND 38A-817 FOR THE CONNECTICUT GENERAL STATUTES. Summary: THIS MATTER DOES NOT INVOLVE NUVEEN ASSET MANAGEMENT, LLC OR NUVEEN, LLC.
Regulatory · Item 11.D(2), 11.D(4)
as of Jul 31, 2024
Allegations: ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF NEW YORK INSURANCE LAWS. Status: Final Sanction Detail: ON MARCH 17, 2016, TIAA ENTERED INTO A STIPULATION WITH THE NEW YORK DEPARTMENT OF FINANCIAL SERVICES ("NYDFS") TO, AMONG OTHER THINGS, FINDINGS BY NYDFS THAT TIAA VIOLATED VARIOUS PROVISIONS OF NEW YORK INSURANCE LAW. THE STIPULATION CITED VIOLATIONS OF NYDFS REGULATION 60 AND REGULATION 152 RELATED TO REPLACEMENT AND RECORDKEEPING REQUIREMENTS. TIAA PAID A CIVIL PENALTY IN THE AMOUNT OF $18,112. THE STIPULATION COVERED THE EXAM PERIOD 01/2005 THROUGH 12/2008. NYDFS HAS ASSESSED THE REMEDIATION PLAN DURING THE SUBSEQUENT EXAMINATION IN 2013 WITH NO FINDINGS OR VIOLATIONS IDENTIFIED RELATED TO REPLACEMENT, ILLUSTRATION, DISCLOSURE AND RECORDKEEPING REQUIREMENTS. Summary: THIS MATTER DOES NOT INVOLVE NUVEEN ASSET MANAGEMENT, LLC OR NUVEEN, LLC.
Regulatory · Item 11.D(2), 11.D(4)
as of Jul 31, 2024
Allegations: THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: FAILURE TO PROVIDE THE "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FAILURE TO PROVIDE BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS, AS REQUIRED BY SECTION 50 ILL. ADM. CODE 919.70(A)(2); AND FAILURE TO NOTIFY BENEFICIARIES OF THE AVAILABILITY OF INTEREST AT THE TIME OF CLAIM SUBMISSION, AS REQUIRED BY 215 ILCS 5/224(1)(I). Status: Final Sanction Detail: ON MARCH 2, 2020, THE ILLINOIS DEPARTMENT OF INSURANCE (IDI) ISSUED A MARKET CONDUCT EXAMINATION VERIFIED REPORT AND STIPULATION AND CONSENT ORDER IN CONNECTION WITH A MARKET CONDUCT EXAMINATION OF TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA ("TIAA"). WITHOUT ADMITTING FAULT, LIABILITY, OR WRONGDOING, TIAA AGREED TO A STIPULATION AND CONSENT ORDER (THE "CONSENT ORDER") FINDING THAT IT VIOLATED SECTIONS 50 ILL. ADM. CODE 919.70(A)(2) FOR NOT PROVIDING A "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FOR NOT PROVIDING BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS; AND VIOLATED 215 ILCS 5/224(1)(I) FOR NOT NOTIFYING BENEFICIARIES OF THE AVAILABILITY OF INTEREST AT THE TIME OF CLAIM SUBMISSION. THE IDI IMPOSED A CIVIL FORFEITURE OF $18,000 FOR TIAA. Summary: THIS MATTER DOES NOT INVOLVE NUVEEN ASSET MANAGEMENT, LLC OR NUVEEN, LLC.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Morgan Stanley $13.4B (5% of AUM) Mar 2026
- Charles Schwab & Co. $9.7B (3% of AUM) Mar 2026
- Merrill Lynch $9.5B (3% of AUM) Mar 2026
- Wells Fargo $5.3B (3% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗