Nuveen Asset Management, LLC
Registered investment adviser · Chicago, IL · CRD #155584
Form ADV data as of 2026-09-01Regulatory assets
$280.48 billion
Total accounts
65,258
Employees
381
Disclosure events
2
Firm details
- Website: https://www.facebook.com/nuveeninvestments/
- Telephone: 312-917-7700
- SEC file number: 801-71957
- Most recent Form ADV filing: 2026-03-24
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $280.46 billion |
| Non-discretionary regulatory assets under management | $27.7 million |
| Total regulatory assets under management | $280.48 billion |
| Discretionary accounts | 65,165 |
| Non-discretionary accounts | 93 |
| Total accounts | 65,258 |
| Regulatory assets under management attributable to non-U.S. persons | $25.28 billion |
People
| Total employees (excluding clerical) | 381 |
| Employees performing investment advisory functions (including research) | 296 |
| Employees who are registered representatives of a broker-dealer | 46 |
| Employees registered as investment adviser representatives with a state | 30 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 2 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $3.36 billion |
| Clients for whom the firm has custody | 14 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 5 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 48,733 | $19.69 billion |
| High net worth individuals | 13,864 | $40.01 billion |
| Banking or thrift institutions | 4 | $1.1 million |
| Investment companies | 138 | $140.21 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 188 | $44.39 billion |
| Pension and profit sharing plans (not the participants or government plans) | 106 | $7.23 billion |
| Charitable organizations | 119 | $499.8 million |
| State or municipal government entities (including government pension plans) | 44 | $1.90 billion |
| Insurance companies | 33 | $16.07 billion |
| Corporations or other businesses not listed above | 2,029 | $10.49 billion |