SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Nuveen Asset Management, LLC
Chicago, IL
CRD 155584
Firm filing updated March 24, 2026 ·
- $280.5BAssets
- 65,258Clients
- 296Advisory staff
- 65,258Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals48,733
- High net worth individuals13,864
- Corporations or other businesses2,029
- Pooled vehicles188
- Investment companies138
- and 5 more306
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 48,733 | $19.7 billion |
| High net worth individuals | 13,864 | $40.0 billion |
| Banking or thrift institutions | 4 | $1.1 million |
| Investment companies | 138 | $140.2 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 188 | $44.4 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 106 | $7.2 billion |
| Charitable organizations | 119 | $499.8 million |
| State or municipal government entities (including government pension plans) | 44 | $1.9 billion |
| Insurance companies | 33 | $16.1 billion |
| Corporations or other businesses not listed above | 2,029 | $10.5 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 7 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Other: "MODEL PORTFOLIO ADVICE"
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment 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 advisors (including private fund managers)
- Other: "MODEL PORTFOLIO ADVICE"
Assets and accounts
- Regulatory assets$280.5 billion
- Accounts65,258
- Discretionary$280.5 billion · 65,165 accounts
- Non-discretionary$27.7 million · 93 accounts
People
- Employees381
- Advisory staff296
- Broker-dealer reps46
- Licensed insurance agents2
Advisors
158 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 155584, SEC file 801-71957.
- Registered with the SEC as an investment advisor (status date on record: November 24, 2010).
Is Nuveen Asset Management, LLC a fiduciary?
Short answer: Nuveen Asset Management, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 46 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
2 staff are licensed insurance agents and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.