# Nuveen Fund Advisors, LLC

> Nuveen Fund Advisors, LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 1978, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 104626
- Filed as: NUVEEN FUND ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/104626
- AdvisorCensus page: https://advisorcensus.com/firm/nuveen-fund-advisors-llc-chicago-il-104626

## Quick answers

**How is Nuveen Fund Advisors, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Nuveen Fund Advisors, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Nuveen Fund Advisors, LLC located?**
Nuveen Fund Advisors, LLC's principal office is in Chicago, IL, according to its Form ADV; the April 2026 filing also lists 5 other offices (Schedule D, Section 1.F).

**Is Nuveen Fund Advisors, LLC registered with the SEC or a state?**
Nuveen Fund Advisors, LLC is an SEC-registered investment advisory firm, registered since 1978. Status as filed: Approved. CRD 104626.

**How much does Nuveen Fund Advisors, LLC manage?**
Nuveen Fund Advisors, LLC reports $186,250,952,275 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Nuveen Fund Advisors, LLC's assets and staff changed since 2021?**
In the Form ADV data for Nuveen Fund Advisors, LLC: Regulatory assets under management: $156,522,830,283 in the October 2021 data and $186,250,952,275 in the October 2026 data, up 19%. Total employees: 113 in October 2021 and 137 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Nuveen Fund Advisors, LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (142); pooled investment vehicles (other than investment companies and business development companies) (93).

**Does Nuveen Fund Advisors, 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/104626

**What changed in Nuveen Fund Advisors, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 26 to 25. Regulatory assets under management went from $162,627,163,218 to $186,250,952,275 (+15%). 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

### Regulatory assets under management (Item 5.F)
- Total: $186,250,952,275
- Discretionary: $186,250,952,275
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 142 | $147,380,791,297 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 93 | $38,870,160,978 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1978 (47 years)
- Employees: 137 total, 25 performing advisory functions
- Wrap fee program participation: No
- 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/104626

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Charlotte, NC
- London
- Minneapolis, MN
- New York, NY
- San Francisco, CA

### 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 | $156,522,830,283 | 113 | March 30, 2021 |
| October 2022 | $193,585,929,896 | 125 | July 21, 2022 |
| October 2023 | $147,653,381,466 | 146 | September 19, 2023 |
| October 2024 | $150,368,021,677 | 146 | March 28, 2024 |
| October 2025 | $162,627,163,218 | 138 | March 28, 2025 |
| October 2026 | $186,250,952,275 | 137 | March 30, 2026 |

Regulatory assets under management: $156,522,830,283 in the October 2021 data and $186,250,952,275 in the October 2026 data, up 19%.
Total employees: 113 in October 2021 and 137 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 26 to 25.
- Regulatory assets under management went from $162,627,163,218 to $186,250,952,275 (+15%).
- 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 Fund Advisors, LLC (CRD 104626): Form ADV filing data as of October 2026.