SourcingSourcing

NUVEEN FUND ADVISORS, LLC

C33
CRD 104626·SEC 801-14147·CHICAGO, IL
AUM
$186.25B
$1B+
Est. Revenue
$1.86B
@ 1% on AUM
Est. EBITDA
$558.8M
@ 30% margin
Est. Deal Value
$4.47B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NUVEEN FUND ADVISORS, LLC
CRD
104626
SEC file #
801-14147
EIN
274357327
DBA names
—

Economics

AUM
$186.25B
AUM band
$1B+
AUM trajectory
'20'26
$135.33B → $186.25B▲ +38%
Client mix
Investment Companies142
Pooled Investment Vehicles93

Operations

Employees (total)
137
Advisory staff (per ADV)
25
Advisory staff (5-yr trend)
'20'26
24 advisors → 25 advisors▲ +4%
Primary office
CHICAGO IL
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesSelection of other advisers
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
linkedin.com/company/nuveen(social)

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NUVEEN CONSOLIDATED, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
NUVEEN CONSOLIDATED, LLC
JONES, NATHANAEL, PENNINGTON
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
19
Form 5500 Total Compensation
6,158,823
Form 5500 Compensation Trajectory 3y
20256,108,014
202650,809
Form 5500 Plan Count Trajectory 3y
202515
20264
Schedule C Total Compensation
6,158,823
Schedule C Service Provider Rows
19

SEC EDGAR

Edgar Cik
0001521019
Edgar Registered
Yes
Edgar Filing Count
208
Edgar First Filing Date
2011-05-17
Edgar Last Filing Date
2026-04-30
Edgar 13f Count
73
Edgar 13f Latest AUM Estimate
Filing Date2025-02-14
Accession0000930413-25-000580
Edgar Form D Count
13
Edgar Form D Offerings
2025-04-162025-04-16 · 0001393725-25-000097
2024-04-192024-04-19 · 0001393725-24-000129

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
State Street2
Edgar Addresses
Mailing
333 W. WACKER DRIVECHICAGO, IL 60606
Business
333 W. WACKER DRIVECHICAGO, IL 60606
Edgar EIN
274357327
Edgar Recent Filings
13F-NT2026-04-30 · 0000930413-26-001391
40-APP2026-02-13 · 0001193125-26-051665
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (5)

5
JONES, NATHANAEL, PENNINGTON
Executive Officer · 2.5%
7149343
MCCANN, JOHN, MICHAEL
Executive Officer · 2.5%
4867665
MOGAVERO, ERIK, PETER
Executive Officer · 2.5%
2540210
SALAMI, OLUSEUN, S.
Executive Officer · 2.5%
7313879
Whitten, Cinda, Dawn
Executive Officer · 2.5%
7664303