# NUVEEN ASSET MANAGEMENT, LLC

NUVEEN ASSET MANAGEMENT, LLC of CHICAGO, IL is an SEC-registered investment adviser.

## Registration

- CRD: 155584
- Type: SEC-registered investment adviser
- SEC file number: 801-71957
- Location: 333 WEST WACKER DRIVE, CHICAGO, IL, 60606
- Phone: 312-917-7700
- Latest filing: 2026-03-24
- Regulatory AUM: $280.5B
- Discretionary AUM: $280.5B
- Non-discretionary AUM: $27.7M
- Clients: 381
- Accounts: 65,258

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other

## Officers, owners & control persons (22)

| Name | Role | Location |
| --- | --- | --- |
| Saira Ann Malik | EXECUTIVE VICE PRESIDENT | San Francisco, CA |
| Stuart Jona Cohen | MANAGING DIRECTOR, HEAD OF LEGAL | Chicago, IL |
| Jon Mitchell Stevens | SENIOR MANAGING DIRECTOR | Minneapolis, MN |
| Travis Martin Pauley | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| Megan Eileen Sendlak | CONTROLLER | Chicago, IL |
| William Thomas Huffman | PRESIDENT | — |
| Konyinsola Kehinde Akibayo | CONTROLLER | — |
| HUFFMAN GARY THOMAS | PRESIDENT | — |
| HUFFMAN WILLIAM T | PRESIDENT | — |
| COHEN STUART JONA | MANAGING DIRECTOR, HEAD OF LEGAL | — |
| KEEFE MARY ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| PAULEY TRAVIS MARTIN | CHIEF COMPLIANCE OFFICER | — |
| SCHREIER THOMAS STEPHEN | CHAIRMAN; CHAIRMAN (SEE SCH. D, MISC. | — |
| MANZONI CHARLES R | CHIEF OPERATING OFFICER AND GENERAL COUNSEL; GENERAL COUNSEL; GENERAL COUNSEL (SEE SCH. D, MISC.) | — |
| HLAVACEK SHERRI A | CONTROLLER; CORPORATE CONTROLLER | — |
| MALIK SAIRA ANN | EXECUTIVE VICE PRESIDENT | — |
| STEVENS JON MITCHELL | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR | — |
| MEGGS DIANE S | CHIEF COMPLIANCE OFFICER | — |
| WACHTER AUSTIN PENN | CONTROLLER | — |
| van Etten Frank Michiel | HEAD OF NUVEEN SOLUTIONS | — |
| Sendlak Megan | CONTROLLER | — |
| Sendlak Megan Eileen | CONTROLLER | — |


## Disclosures (11)

| 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/155584/brochure
- Similar advisers: https://search.stillhousedata.com/firm/155584/similar
- Related entities: https://search.stillhousedata.com/firm/155584/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/155584

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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.