# Nuveen Asset Management, LLC

> Nuveen Asset Management, LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2010, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 24, 2026.

- CRD: 155584
- Filed as: NUVEEN ASSET MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: March 24, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/155584
- AdvisorCensus page: https://advisorcensus.com/firm/nuveen-asset-management-llc-chicago-il-155584

## Quick answers

**How is Nuveen Asset Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Nuveen Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Nuveen Asset Management, LLC located?**
Nuveen Asset Management, LLC's principal office is in Chicago, IL, according to its Form ADV; the April 2026 filing also lists 12 other offices (Schedule D, Section 1.F).

**Is Nuveen Asset Management, LLC registered with the SEC or a state?**
Nuveen Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 155584.

**How much does Nuveen Asset Management, LLC manage?**
Nuveen Asset Management, LLC reports $280,484,645,970 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (100% discretionary).

**How have Nuveen Asset Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Nuveen Asset Management, LLC: Regulatory assets under management: $241,534,563,701 in the October 2021 data and $280,484,645,970 in the October 2026 data, up 16%. Total employees: 350 in October 2021 and 381 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Nuveen Asset Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (48,733); high net worth individuals (13,864); corporations or other businesses not listed above (2,029).

**Which custodians does Nuveen Asset Management, LLC use?**
Nuveen Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley as custodians holding 10% or more of its separately managed account assets.

**Does Nuveen Asset Management, LLC report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/155584

**What changed in Nuveen Asset Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 299 to 296. Changed its office addresses in Clayton, MO. Changed its office addresses in San Francisco, CA. Added an office in Canton, GA. Added an office in Lake Forest, IL. No longer lists an office in Portland, OR. No longer lists an office in Princeton, NJ. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Merrill Lynch, Pierce, Fenner & Smith Incorporated
- Morgan Stanley

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $280,484,645,970
- Discretionary: $280,456,916,865
- Non-discretionary: $27,729,105

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 48,733 | $19,685,623,348 |
| High net worth individuals | 13,864 | $40,012,883,399 |
| Banking or thrift institutions | 4 | $1,079,780 |
| Investment companies | 138 | $140,206,643,809 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 188 | $44,390,759,907 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 106 | $7,229,182,433 |
| Charitable organizations | 119 | $499,836,171 |
| State or municipal government entities (including government pension plans) | 44 | $1,902,325,966 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 33 | $16,069,369,907 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 2,029 | $10,486,941,250 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2010 (15 years)
- Employees: 381 total, 296 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/155584

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Canton, GA
- Central
- Charlotte, NC
- Clayton, MO
- Lake Forest, IL
- London
- Los Angeles, CA
- Minneapolis, MN
- New York, NY
- Newport Beach, CA
- San Francisco, CA
- Tokyo

### Websites listed on Form ADV (Item 1.I)
- nuveen.com
- Facebook @NUVEENINVESTMENTS
- Instagram @NUVEENINV
- LinkedIn @NUVEEN
- TikTok @NUVEEN
- X @NUVEENINV
- YouTube @NUVEENINVESTMENTS

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $241,534,563,701 | 350 | March 15, 2021 |
| October 2022 | $298,013,616,737 | 414 | April 8, 2022 |
| October 2023 | $248,648,334,766 | 421 | March 24, 2023 |
| October 2024 | $239,614,971,441 | 397 | July 31, 2024 |
| October 2025 | $259,916,966,911 | 373 | July 31, 2025 |
| October 2026 | $280,484,645,970 | 381 | March 24, 2026 |

Regulatory assets under management: $241,534,563,701 in the October 2021 data and $280,484,645,970 in the October 2026 data, up 16%.
Total employees: 350 in October 2021 and 381 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 299 to 296.
- Changed its office addresses in Clayton, MO.
- Changed its office addresses in San Francisco, CA.
- Added an office in Canton, GA.
- Added an office in Lake Forest, IL.
- No longer lists an office in Portland, OR.
- No longer lists an office in Princeton, NJ.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Nuveen Asset Management, LLC (CRD 155584): Form ADV filing data as of October 2026.