NUVEEN ASSET MANAGEMENT, LLC
Latest filing: Jul 31, 2024 (115 days ago)
AUM
$239,614,971,441
-4% change vs. 1 year ago
-1% change vs. 3 years ago
36% change vs. 5 years ago
106% change vs. 10 years ago
Employee Count
397
-6% change vs. 1 year ago
13% change vs. 3 years ago
34% change vs. 5 years ago
138% change vs. 10 years ago
Main Office
CHICAGO, IL
333 WEST WACKER DRIVE, CHICAGO, IL, UNITED STATES, 60606
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $239.6 |
| Non-Discretionary | $0.0 |
| Total | $239.6 |
| Client | AUM |
|---|---|
| Retail | $49.1 |
| Pooled | $160.3 |
| Institutional | $30.2 |
| Total | $239.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 45,947 | $17.8 |
| Average Individual AUM | $388,069 | |
| HNW | 11,160 | $31.3 |
| Average HNW AUM | $2,800,529 | |
| Retail Total | 57,107 | $49.1 |
| Average Retail AUM | $859,518 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| MORGAN STANLEY SMITH BARNEY LLC | PURCHASE-NY-USA | $16.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $79.3 |
| Retail SMA AUM | $49.1 |
| Institutional SMA AUM | $30.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 11% | $8.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 3% | $2.4 |
| Municipal | 72% | $57.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 6% | $4.8 |
| HY Credit | 2% | $1.6 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 2% | $1.6 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $1.6 |
| Other | 2% | $1.6 |
| Total | 100% | $79.3 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| TEACHERS ADVISORS, LLC | $368.6 | 107157 | |
| TIAA-CREF INVESTMENT MANAGEMENT LLC | $249.9 | 107168 | |
| NUVEEN FUND ADVISORS, LLC | $150.4 | 104626 | |
| NUVEEN ALTERNATIVES ADVISORS LLC | $141.6 | 160255 | |
| CHURCHILL ASSET MANAGEMENT LLC | $42.5 | 175092 | |
| WINSLOW CAPITAL MANAGEMENT LLC | $23.4 | 106940 | |
| GRESHAM INVESTMENT MANAGEMENT LLC | $6.2 | 134392 | |
| CHURCHILL DLC ADVISOR LLC | $1.7 | 304945 | |
| AGR PARTNERS LLC | $1.1 | 283081 | |
| NUVEEN SECURITIES, LLC | $0.0 | broker-dealer | 469 |
| WESTCHESTER GROUP REAL ESTATE, INC. | $0.0 | - | |
| NUVEEN INVESTMENT MANAGEMENT INTERNATIONAL LIMITED | $0.0 | - | |
| GLENNMONT ASSET MANAGEMENT LIMITED | $0.0 | - | |
| CLEAN ENERGY PARTNERS LLP | $0.0 | - | |
| NUVEEN MANAGEMENT AIFM LIMITED | $0.0 | 283854 | |
| NUVEEN SINGAPORE PRIVATE LTD | $0.0 | - | |
| NUVEEN HONG KONG LIMITED | $0.0 | - | |
| NUVEEN ASSET MANAGEMENT EUROPE SARL | $0.0 | - | |
| GLENNMONT PARTNERS I LIMITED | $0.0 | - | |
| NUVEEN UK LIMITED | $0.0 | - | |
| NUVEEN JAPAN CO. LTD. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
13 active
| Name | Title |
|---|---|
| HUFFMAN, WILLIAM, THOMAS | PRESIDENT |
| COHEN, STUART, JONA | MANAGING DIRECTOR, HEAD OF LEGAL |
| STEVENS, JON, MITCHELL | SENIOR MANAGING DIRECTOR |
| PAULEY, TRAVIS, MARTIN | CHIEF COMPLIANCE OFFICER |
| SENDLAK, MEGAN, EILEEN | CONTROLLER |
ADVDB.CO • SOURCE: SEC
Representatives
286 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| PAUL KENNEDY | CHICAGO | IL | S66|2021-10-07 | ||||||
| KEITH ALBERTINA | CHICAGO | IL | S63|1998-07-09|S65|2007-07-02 | ||||||
| TIFFANY ROSEN | CHICAGO | IL | S66|2008-09-19 | ||||||
| JAMES GORRELL | CHICAGO | IL | S66|2010-11-09 | ||||||
| PATRICK BOWDEN | CHICAGO | IL | S66|2019-08-29 | ||||||
| ANDREW COMBS | CHICAGO | IL | S63|2003-03-20|S66|2004-12-21|S65|2015-05-28 | ||||||
| CHRISTOPHER BARRON | CHICAGO | IL | S63|2003-04-09|S65|2005-07-12 | ||||||
| MEGHANN PETERSON | CHICAGO | IL | S66|2004-12-07 | ||||||
| THOMAS MCBRIDE | CHICAGO | IL | S63|2010-09-21|S65|2021-03-15 | ||||||
| MICHAEL RAMSEY | CHICAGO | IL | S66|2018-10-02 | ||||||
| LISA SEGNER | CHICAGO | IL | S63|2011-06-23|S65|2012-11-20 | ||||||
| JAMES COCKERILL | CHICAGO | IL | S63|2012-10-09|S66|2014-01-13 | ||||||
| JAMES POLITO | CHICAGO | IL | S63|1995-06-14|S65|2006-03-28 | ||||||
| JON THRONDSON | CHICAGO | IL | S66|2011-08-30 | ||||||
| PATRICK MCGOWAN | CHICAGO | IL | S63|2006-05-23|S65|2019-05-10 | ||||||
| TODD BRADY | CHICAGO | IL | S66|2002-09-03|S63|2015-12-01 | ||||||
| LISA GEORGE | CHICAGO | IL | S63|1987-10-05|S65|1992-08-10 | ||||||
| NICHOLAS LIBERI | CHICAGO | IL | S63|1999-07-08|S65|2003-12-04 | ||||||
| SANTIAGO ALVAREZ RIOS | CHICAGO | IL | S66|2022-07-18 | ||||||
| RYAN MARTINEK | CHICAGO | IL | S63|2004-08-09|S66|2005-11-30 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $239.6 | $0.0 | 0% | 397 | 0 | 0% |
| 2024-04-02 | $239.6 | $0.0 | 0% | 397 | 0 | 0% |
| 2023-04-04 | $248.6 | -$9.0 | -4% | 421 | -24 | -6% |
| 2022-04-01 | $298.0 | -$58.4 | -20% | 414 | -17 | -4% |
| 2021-04-05 | $241.5 | -$1.9 | -1% | 350 | 47 | 13% |
| 2020-04-01 | $209.7 | $29.9 | 14% | 372 | 25 | 7% |
| 2019-04-01 | $176.3 | $63.3 | 36% | 296 | 101 | 34% |
| 2018-04-02 | $174.4 | $65.2 | 37% | 194 | 203 | 105% |
| 2017-04-01 | $155.5 | $84.1 | 54% | 190 | 207 | 109% |
| 2016-04-01 | $141.3 | $98.3 | 70% | 177 | 220 | 124% |
| 2015-04-01 | $133.9 | $105.7 | 79% | 169 | 228 | 135% |
| 2014-04-01 | $116.2 | $123.4 | 106% | 167 | 230 | 138% |
| 2013-04-01 | $119.5 | $120.1 | 100% | 160 | 237 | 148% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-11/24/2010, AL-11/24/2010, AR-11/24/2010, AZ-11/24/2010, CA-11/24/2010, CO-11/24/2010, CT-11/24/2010, DC-11/24/2010, DE-11/30/2010, FL-11/24/2010, GA-11/24/2010, HI-11/24/2010, IA-11/24/2010, ID-11/24/2010, IL-11/24/2010, IN-11/24/2010, KS-11/24/2010, KY-11/24/2010, LA-11/24/2010, MA-11/24/2010, MD-11/24/2010, ME-11/24/2010, MI-11/24/2010, MN-11/24/2010, MO-11/24/2010, MS-11/24/2010, MT-11/24/2010, NC-11/24/2010, ND-11/24/2010, NE-11/24/2010, NH-11/24/2010, NJ-12/20/2010, NM-11/24/2010, NV-11/24/2010, NY-11/24/2010, OH-11/24/2010, OK-11/24/2010, OR-11/24/2010, PA-11/24/2010, PR-11/24/2010, RI-11/24/2010, SC-11/24/2010, SD-11/30/2010, TN-11/24/2010, TX-11/24/2010, UT-11/24/2010, VA-11/24/2010, VI-11/24/2010, VT-11/30/2010, WA-11/24/2010, WI-11/24/2010, WV-11/24/2010, WY-03/21/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV