{"url":"https://nivawealth.com/firms/nuveen-asset-management-155584","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/155584","regulatoryAum":280484645970,"crd":"155584","secFileNumber":"801-71957","legalName":"Nuveen Asset Management, LLC","displayName":"Nuveen Asset Management","website":"https://www.nuveen.com","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"333 West Wacker Drive","city":"Chicago","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60606"},"tradeNames":[],"registration":{"secApproved":"24 November 2010","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":381,"advisory":296,"brokerDealerReps":46,"insuranceAgents":2,"promoters":0},"aum":{"discretionary":280456916865,"discretionaryAccounts":65165,"nonDiscretionary":27729105,"nonDiscretionaryAccounts":93,"wrapProgram":66444192762,"nonUsClientsPct":1,"nonAumClients":25},"clientTypes":[{"label":"Individuals (other than HNW)","clients":48733,"regulatoryAum":19685623348},{"label":"High-net-worth individuals","clients":13864,"regulatoryAum":40012883399},{"label":"Banking or thrift institutions","clients":4,"regulatoryAum":1079780},{"label":"Investment companies","clients":138,"regulatoryAum":140206643809},{"label":"Pooled investment vehicles","clients":188,"regulatoryAum":44390759907},{"label":"Pension and profit-sharing plans","clients":106,"regulatoryAum":7229182433},{"label":"Charitable organizations","clients":119,"regulatoryAum":499836171},{"label":"State or municipal government entities","clients":44,"regulatoryAum":1902325966},{"label":"Insurance companies","clients":33,"regulatoryAum":16069369907},{"label":"Corporations and other businesses","clients":2029,"regulatoryAum":10486941250}],"fees":[],"feeNotes":[],"custodians":[{"name":"Morgan Stanley Smith Barney LLC","shortName":"Morgan Stanley","location":"Purchase, NY","smaAssets":13431984285},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":9687854877},{"name":"Merrill Lynch, Pierce, Fenner & Smith Incorporated","shortName":"Merrill Lynch, Pierce, Fenner & Smith","location":"Shawnee Mission, KS","smaAssets":9523893057}],"custodyNote":"Nuveen Asset Management has custody of $3.36B for 14 clients.","otherCustodians":[],"leadership":[{"name":"William Huffman","title":"President","crd":"4367634"},{"name":"Saira Malik","title":"Executive Vice President","crd":"2181766"},{"name":"Travis Pauley","title":"Chief Compliance Officer","crd":"2293702"},{"name":"Konyinsola Akibayo","title":"Controller","crd":"8087106"},{"name":"Stuart Cohen","title":"Managing Director, Head of Legal","crd":"3144010"},{"name":"Jon Stevens","title":"Senior Managing Director","crd":"4427995"}],"ownership":[{"label":"Nuveen Fund Advisors, LLC","detail":"Managing member in the 75% or more ownership band and a control person, since December 2010."},{"label":"Nuveen, LLC","detail":"Indirect owner: a member of Nuveen Consolidated, LLC in the 75% or more band and a control person, since November 2025.","parent":"Nuveen Consolidated, LLC"},{"label":"Teachers Insurance and Annuity Association of America","detail":"Indirect owner: a member of Nuveen, LLC in the 75% or more band and a control person, since October 2014.","parent":"Nuveen, LLC"},{"label":"Tiaa Board of Governors","detail":"Indirect owner: a shareholder of Teachers Insurance and Annuity Association of America in the 75% or more band and a control person, since October 2014.","parent":"Teachers Insurance and Annuity Association of America"},{"label":"Nuveen Consolidated, LLC","detail":"Indirect owner: a managing member of Nuveen Fund Advisors, LLC in the 75% or more band and a control person, since November 2025.","parent":"Nuveen Fund Advisors, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":28,"privateResidences":16},"listedOfficeAddresses":10,"officesByState":[{"state":"California","offices":3,"addresses":[{"street":"2029 Century Park East","city":"Los Angeles"},{"street":"4675 Macarthur BLVD.","city":"Newport Beach"},{"street":"560 Mission Street","city":"San Francisco"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"319 Puckett Creek Court","city":"Canton"}]},{"state":"Illinois","offices":2,"addresses":[{"street":"333 West Wacker Drive","city":"Chicago","headquarters":true},{"street":"612 Spruce Ave","city":"Lake Forest"}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"901 Marquette Avenue","city":"Minneapolis"}]},{"state":"Missouri","offices":1,"addresses":[{"street":"231 South Bemiston","city":"Clayton"}]},{"state":"New York","offices":1,"addresses":[{"street":"730 Third Avenue","city":"New York"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"8500 Andrew Carnegie Boulevard","city":"Charlotte"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-917-7700","stateRegisteredReps":30,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":71},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":10},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":2,"detail":"Bank Debt"}],"privateFunds":28},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/155584/PDF/155584.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Nuveen Asset Management have?","answer":"Nuveen Asset Management has 65,258 clients and manages $280.5 billion for them, as of March 2026. They include 48,733 other individuals, 13,864 high-net-worth individuals and 2,029 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Nuveen Asset Management offer?","answer":"Nuveen Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Nuveen Asset Management use?","answer":"Nuveen Asset Management’s separately managed account assets are held at Morgan Stanley Smith Barney LLC (Purchase, NY), with $13,431,984,285, Charles Schwab & Co., Inc. (Westlake, TX), with $9,687,854,877 and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Shawnee Mission, KS), with $9,523,893,057. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Nuveen Asset Management have?","answer":"Nuveen Asset Management has 30 investment adviser representatives registered with state securities authorities, out of 381 employees, and 296 perform investment advisory functions. 46 are registered representatives of a broker-dealer and 2 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Nuveen Asset Management invest in?","answer":"At the end of its last fiscal year, Nuveen Asset Management’s separately managed accounts held 71% state and local bonds, 10% investment grade corporate bonds, 6% exchange-traded equities, 4% U.S. government and agency bonds, 2% high-yield corporate bonds, 2% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents, 2% bank debt and 1% sovereign bonds. It advises 28 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Nuveen Asset Management?","answer":"Nuveen Asset Management is owned through a chain of holding companies by Tiaa Board of Governors. Its direct owner is Nuveen Fund Advisors, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Nuveen Asset Management get paid?","answer":"Nuveen Asset Management is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}