Hedge Fund Database

NUVEEN FUND ADVISORS, LLC

Adviser information for NUVEEN FUND ADVISORS, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 146
Investment Advisory/Research 28
Registered Broker-Dealer Representatives 13
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 182 $150.4B
Non-Discretionary 0 $0
Total 182 $150.4B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 132 $137.2B
Business development companies 0 $0
Pooled investment vehicles 50 $13.2B
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 4

Services

Advisory Services Portfolio management for investment companiesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)
Compensation % of AUM

Identifiers

SEC RIA File Number 801-14147
SEC ERA File Number 801-14147
SEC CIK Numbers 1311016
SEC CRD Numbers 104626
Legal Entity Identifier 5493003J8FN3E5090T63

Principal Office

333 WEST WACKER DRIVE
CHICAGO
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM CST
Tel: 312-917-7700, Fax: None

Websites

www.instagram.com/nuveeninv/ linkedin.com/company/nuveen www.youtube.com/@nuveeninvestments twitter.com/nuveeninv www.nuveen.com www.facebook.com/nuveeninvestments/

Chief Compliance Officer

ERIK MOGAVERO
MANAGING DIRECTOR
730 THIRD AVENUE
NEW YORK
NY
United States
Tel: 212-916-5622
(Full email address available in API data)

Regulatory Contact

DOUG TRINKL
VICE PRESIDENT, SENIOR COMPLIANCE OFFICER
3131 E CAMELBACK ROAD
SUITE 420
PHOENIX
AZ
United States
Tel: 312-917-6825
(Full email address available in API data)

Industry Affiliates

AGR PARTNERS LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CHURCHILL ASSET MANAGEMENT LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CHURCHILL DLC ADVISOR LLC Other investment adviser, including financial planners
CLEAN ENERGY PARTNERS LLP Sponsor, GP, manager of pooled investment vehicles
GLENNMONT ASSET MANAGEMENT LIMITED Sponsor, GP, manager of pooled investment vehicles
GLENNMONT PARTNERS I LIMITED Sponsor, GP, manager of pooled investment vehicles
GRESHAM INVESTMENT MANAGEMENT LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
NUVEEN ALTERNATIVES ADVISORS LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
NUVEEN ASSET MANAGEMENT EUROPE SARL Other investment adviser, including financial planners
NUVEEN ASSET MANAGEMENT, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles
NUVEEN HONG KONG LIMITED Other investment adviser, including financial planners
NUVEEN INVESTMENT MANAGEMENT INTERNATIONAL LIMITED Other investment adviser, including financial planners
NUVEEN REAL ESTATE Other investment adviser, including financial planners
NUVEEN SECURITIES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
NUVEEN SINGAPORE PRIVATE LTD Other investment adviser, including financial planners
TEACHERS ADVISORS, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
TIAA-CREF INVESTMENT MANAGEMENT LLC Other investment adviser, including financial planners
WESTCHESTER GROUP REAL ESTATE, INC. Real estate broker or dealer
WINSLOW CAPITAL MANAGEMENT LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
NUVEEN INVESTMENTS, INC. Domestic Entity – MANAGING MEMBER 01/1997 > 75%
NUVEEN HOLDINGS, INC. Domestic Entity NUVEEN INVESTMENTS, INC. SHAREHOLDER 11/2007 > 75%
NUVEEN FINANCE, LLC Domestic Entity NUVEEN HOLDINGS 1, INC. SHAREHOLDER 01/2017 > 75%
NUVEEN, LLC Domestic Entity NUVEEN FINANCE, LLC MEMBER 10/2014 > 75%
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA Domestic Entity NUVEEN, LLC MEMBER 10/2014 > 75%
TIAA BOARD OF GOVERNERS Domestic Entity TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA SHAREHOLDER 10/2014 > 75%
NUVEEN HOLDINGS 1, INC. Domestic Entity NUVEEN HOLDINGS, INC. SHAREHOLDER 01/2017 > 75%
PERRY, MICHAEL, ANDREW Individual – EXECUTIVE VICE PRESIDENT 02/2017 < 5%
MOGAVERO, ERIK, PETER Individual – CHIEF COMPLIANCE OFFICER 08/2017 < 5%
SALAMI, OLUSEUN, S. Individual – EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER 11/2020 < 5%
Whitten, Cinda, Dawn Individual – HEAD OF GLOBAL INVESTMENT OPERATIONS 09/2022 < 5%
MCCANN, JOHN, MICHAEL Individual – MANAGING DIRECTOR, GENERAL COUNSEL & ASSISTANT SECRETARY 03/2023 < 5%
RAMSAY, MARY, BETH Individual – CHIEF RISK OFFICER, NUVEEN 09/2023 < 5%

No. Employees, Historic

20010002019202020212022202320242025100 on 10/30/201994 on 3/30/202094 on 11/13/2020113 on 3/30/2021125 on 3/29/2022125 on 7/6/2022125 on 7/14/2022125 on 7/15/2022125 on 7/21/2022125 on 11/21/2022125 on 3/3/2023146 on 3/29/2023146 on 3/29/2023146 on 9/19/2023146 on 3/28/2024

RAUM, Historic

200B100B02019202020212022202320242025135333251177 on 10/30/2019158311228547 on 3/30/2020158311228547 on 11/13/2020156522830283 on 3/30/2021193585929896 on 3/29/2022193585929896 on 7/6/2022193585929896 on 7/14/2022193585929896 on 7/15/2022193585929896 on 7/21/2022193585929896 on 11/21/2022193585929896 on 3/3/2023147653381466 on 3/29/2023147653381466 on 3/29/2023147653381466 on 9/19/2023150368021677 on 3/28/2024

No. Clients, Historic

20010002019202020212022202320242025174 on 10/30/2019182 on 3/30/2020182 on 11/13/2020187 on 3/30/2021176 on 3/29/2022176 on 7/6/2022176 on 7/14/2022176 on 7/15/2022176 on 7/21/2022176 on 11/21/2022176 on 3/3/2023182 on 3/29/2023182 on 3/29/2023182 on 9/19/2023182 on 3/28/2024

Holdings

From latest 13F, filed November 14th, 2019 for period ending September 30th, 2019
Name Class Value $USD # Shares Private Fund
0 0 0 0 –