NUVEEN ASSET MANAGEMENT, LLC

CRD

155584

SEC file #

801-71957

EIN

000000000

DBA names

—

Economics

AUM

$280.48B

AUM band

$1B+

AUM trajectory

'20 · $176.29B

'21 · $209.70B

'22 · $241.53B

'23 · $298.01B

'25 · $259.92B

'26 · $280.48B

'20'26

$176.29B → $280.48B▲ +59%

sec adv history

Client mix

Individuals Other	48,733
Individuals High Net Worth	13,864
Corporations	2,029
Pooled Investment Vehicles	188
Investment Companies	138

Operations

Employees (total)

381

Advisory staff (per ADV)

296

Advisory staff (5-yr trend)

'20 · 229 advisors

'21 · 283 advisors

'22 · 284 advisors

'23 · 339 advisors

'25 · 299 advisors

'26 · 296 advisors

'20'26

229 advisors → 296 advisors▲ +29%

sec adv history

Primary office

CHICAGO IL

Branches

—

Custodian & Brokerage

Primary custodian

U.S. Banklow confidence

adv brochure

Services offered

Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses

Fee basis

% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing

03/24/2026

facebook.com/nuveeninvestments(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

NUVEEN FUND ADVISORS, LLC

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

NUVEEN FUND ADVISORS, LLC

Akibayo, Konyinsola, Kehinde

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

social_url_excluded:facebook.com

rdap

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Compensation

5,760,786

Form 5500 Compensation Trajectory 3y

2025	5,736,006
2026	24,780

Form 5500 Plan Count Trajectory 3y

2025	18
2026	1

Schedule C Total Compensation

5,760,786

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001370698

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2006-07-13

Edgar Last Filing Date

2011-03-04

Edgar Form D Count

Edgar Form D Offerings

2011-03-042011-03-04 · 0001370698-11-000001

2010-03-112010-03-11 · 0001370698-10-000003

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (13)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

U.s. Bank	39
State Street	38
Bny Mellon	15
Charles Schwab	9
Jpmorgan	9

adv brochure

Edgar Addresses

Mailing

800 NICOLLET MALLMINNEAPOLIS, MN 55402

Business

800 NICOLLET MALLMINNEAPOLIS, MN 55402

Edgar EIN

000000000

Edgar Recent Filings

D/A2011-03-04 · 0001370698-11-000001

D2010-03-11 · 0001370698-10-000003

Fee Schedule

Bracket Iv	71
Bracket Vi	10
Bracket I	6
Bracket Iii	4
Bracket Vii	2

Firm Has Custody

Yes

Mailing Office Differs

Top Owner CRD

104626

Trust Company Affiliate

Yes

NUVEEN FUND ADVISORS, LLC

People (57)

Direct Owner · 87.5%

104626

Akibayo, Konyinsola, Kehinde

8087106

COHEN, STUART, JONA

3144010

HUFFMAN, WILLIAM, THOMAS

4367634

MALIK, SAIRA, ANN

2181766

PAULEY, TRAVIS, MARTIN

2293702

Stevens, Jon, Mitchell