# NUVEEN FUND ADVISORS, LLC

NUVEEN FUND ADVISORS, LLC of CHICAGO, IL is an SEC-registered investment adviser.

## Registration

- CRD: 104626
- Type: SEC-registered investment adviser
- SEC file number: 801-14147
- Location: 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
- Phone: 312-917-7700
- Latest filing: 2026-03-30
- Regulatory AUM: $186.3B
- Discretionary AUM: $186.3B
- Clients: 137
- Accounts: 235

## Business model

- Compensation: % of AUM
- Clients served: Charities, Investment cos

## Officers, owners & control persons (59)

_Showing 25 of 59 people._

| Name | Role | Location |
| --- | --- | --- |
| Cinda Dawn Whitten | HEAD OF GLOBAL INVESTMENT OPERATIONS | NEW YORK, NY |
| John Michael McCann | MANAGING DIRECTOR, GENERAL COUNSEL & ASSISTANT SECRETARY | Charlotte, NC |
| Erik Peter Mogavero | CHIEF COMPLIANCE OFFICER | — |
| Oluseun S Salami | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| Nathanael Pennington Jones | PRESIDENT | — |
| MOGAVERO ERIK PETER | CHIEF COMPLIANCE OFFICER | — |
| HUFFMAN WILLIAM T | CHIEF OPERATING OFFICER | — |
| SCHWERTFEGER TIMOTHY RAYMOND | CHAIRMAN, CEO AND DIRECTOR | — |
| AMBOIAN JOHN PETER | PRESIDENT AND CHIEF EXECUTIVE OFFICER; PRESIDENT AND DIRECTOR | — |
| COHEN STUART JONA | MANAGING DIRECTOR, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL; VICE PRESIDENT AND ASSISTANT SECRETARY; VICE PRESIDENT, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL | — |
| WILSON MARGARET EILEEN | SR. V.P. AND CONTROLLER | — |
| KEEFE MARY E | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR AND DIRECTOR OF COMPLIANCE | — |
| MARTIN LARRY WOODS | VICE PRESIDENT AND ASSISTANT SECRETARY; VICE PRESIDENT, ASSISTANT SECRETARY AND ASSISTANT GENERAL COUNSEL | — |
| MACCARTHY JOHN L | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY; SENIOR VICE PRESIDENT, GENERAL COUNSEL & SECRETARY | — |
| KEEFE MARY ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| FITZGERALD WILLIAM M | MANAGING DIRECTOR; VICE PRESIDENT | — |
| ZIMMERMAN GIFFORD ROSS | CHIEF LEGAL OFFICER; CO-GENERAL COUNSEL; MANAGING DIRECTOR AND ASSISTANT SECRETARY | — |
| STENWALL ANDREW JOHN | MANAGING DIRECTOR | — |
| CROSSLEY LISA DIANE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| PERRY PAUL ANDREW | EXECUTIVE VICE PRESIDENT | — |
| MILLER HOLLY HYLTON | HEAD OF GLOBAL INVESTMENT OPERATIONS | — |
| ADAMS ROBERT WILLIAM | CO-PRESIDENT | — |
| SCHREIER THOMAS STEPHEN | CO-PRESIDENT | — |
| HLAVACEK SHERRI A | CONTROLLER; VP & CORPORATE CONTROLLER | — |
| RICHTER GLENN ROBERT | EXECUTIVE VICE PRESIDENT | — |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2020-03-03 | regulatory | THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: FAILURE TO PROVIDE THE "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FAILURE TO PROVIDE BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS, AS REQUIRED BY SECTION 50 ILL. ADM. CODE 919.70(A)(2); AN… | Final | $18K |
| 2016-03-17 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF NEW YORK INSURANCE LAWS. | Final | $18K |
| 2014-06-30 | regulatory | ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF CONNECTICUT INSURANCE LAWS. | Final | $2K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/104626/brochure
- Similar advisers: https://search.stillhousedata.com/firm/104626/similar
- Related entities: https://search.stillhousedata.com/firm/104626/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/104626

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.