NUVEEN FUND ADVISORS, LLC
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NUVEEN FUND ADVISORS, LLC
(CRD# 104626)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Chicago, IL.
The SEC approved the firm to operate as an RIA in
Nov 1978.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$135.3 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
1%
of RAUM.
Non-US investors represent
0%
.
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NUVEEN FUND ADVISORS, LLC
also reported in
Mar 2019
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100
employees,
with
24
performing advisory functions.
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A total of 4 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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NUVEEN FUND ADVISORS, LLC has one or more disclosure events currently on file with the SEC.
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NUVEEN FUND ADVISORS, LLC has Notice Filings with the following State Securities Authorities:
AK-Apr 1994, AL-May 1994, AR-May 1994, AZ-Aug 1994, CA-Nov 19
, CO-Jan 1999, CT-Dec 1997, DC-Mar 1997, DE-Aug 2003, FL-Jun 1
, GA-Feb 1993, HI-Oct 1994, IA-Jan 1999, ID-Apr 1994, IL-May 1
, IN-Feb 2001, KS-Jul 1994, KY-Apr 1989, LA-Oct 2001, MA-Mar 1
, MD-Jun 1994, ME-Mar 1997, MI-Apr 1998, MN-Apr 1994, MO-Oct 1
, MS-Dec 1997, MT-Apr 1994, NC-Dec 2000, ND-Jun 1994, NE-Sep 1
, NH-May 1994, NJ-Jul 1994, NM-Dec 2000, NV-Oct 1993, NY-Sep 1
, OH-Mar 2000, OK-Jan 1998, OR-Apr 1998, PA-Aug 1989, PR-Jul 1
, RI-Dec 1995, SC-Apr 1994, SD-Apr 1994, TN-Feb 1990, TX-Oct 1
, UT-Apr 1994, VA-Oct 1990, VI-Mar 2005, VT-Nov 1994, WA-Jul 1
, WI-Jul 1993, WV-May 1994, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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