Asset manager · Chicago, IL
Nuveen Fund Advisors, LLC
SEC-registered investment adviser · CRD 104626 · SEC 801-14147
At a glance
Nuveen Fund Advisors, LLC is an SEC-registered investment adviser based in Chicago, Illinois, with $186.3 billion in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 78th of 3,218 asset managers and 141st of 17,210 SEC-registered advisers by assets.
Main office 312-917-7700nuveen.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $186B
- Rank among asset managers
- #78 of 3,218
- Rank among all SEC RIAs
- #141 of 17,210
- Rank in Illinois
- #10 of 684
- Clients
- 235
- Accounts
- 235
- Discretionary
- 100% of AUM
- Employees
- 137
- Advisory staff
- 25
- Offices
- 6
Owners and executives on its Form ADV
- Erik P. MogaveroChief Compliance Officer
- Oluseun S. SalamiExecutive Vice President and Chief Financial Officer
- Cinda D. WhittenHead of Global Investment Operations
- John M. McCannManaging Director, General Counsel & Assistant Secretary
- Nathanael P. JonesPresident
Custody and brokerage
Custodian
Nuveen Fund Advisors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Nuveen Fund Advisors, LLC is a hybrid RIA: 10 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Nuveen Securities, LLC.
- Nuveen Securities, LLC ↗CRD 469
Its Form ADV brochure (filed March 2026) names Nuveen Securities as the broker-dealer its advisers are registered with.
Certain management persons and/or other personnel of NFAL are registered representatives and associated persons of Nuveen Securities, an affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 142 | $147B | 79% |
| Pooled investment vehicles | 93 | $39B | 21% |
Disciplinary disclosures
Nuveen Fund Advisors, LLC answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗nuveen.com ↗
AtlasMembers
The full record on Nuveen Fund Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 154 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Nuveen Fund Advisors, LLC manage?
Nuveen Fund Advisors, LLC reports $186.3 billion in regulatory assets under management across 235 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Nuveen Fund Advisors, LLC?
Nuveen Fund Advisors, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons.
Who are Nuveen Fund Advisors, LLC’s clients?
By assets, its largest client types are investment companies ($147.4 billion, 142 clients); pooled investment vehicles ($38.9 billion, 93 clients).
Does Nuveen Fund Advisors, LLC have any disciplinary history?
Nuveen Fund Advisors, LLC answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Nuveen Fund Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →