NUVEEN ASSET MANAGEMENT, LLC of CHICAGO, IL is an SEC-registered investment adviser (CRD 155584). Regulatory assets under management: $280.5B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other.
| 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 | — |
| 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 |
Securitized Asset Fund: 12 · Hedge Fund: 12 · Other Private Fund: 4
Showing 15 of 28 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| NUVEEN SENIOR LOAN FUND, LP | Other Private Fund | Delaware | 19 | $672.2M | $5.0M |
| NUVEEN CORPORATE ARBITRAGE AND RELATIVE VALUE FUND, L.P. | Hedge Fund | Delaware | 6 | $583.7M | $5.0M |
| NUVEEN HIGH YIELD MUNICIPAL OPPORTUNITIES MASTER FUND LP | Hedge Fund | Delaware | 1,081 | $444.3M | $250K |
| CALIFORNIA STREET CLO IX LIMITED PARTNERSHIP | Securitized Asset Fund | Cayman Islands | 1 | $419.5M | $500K |
| SYMPHONY CLO XXVI, LTD. | Securitized Asset Fund | Cayman Islands | 1 | $395.3M | $250K |
| SYMPHONY CLO XXII, LTD. | Securitized Asset Fund | Cayman Islands | 1 | $335.4M | $250K |
| NUVEEN HIGH YIELD MUNICIPAL OPPORTUNITIES FUND LP | Hedge Fund | Delaware | 1,081 | $310.8M | $250K |
| SYMPHONY CLO XXI, LTD. | Securitized Asset Fund | Cayman Islands | 1 | $302.1M | $250K |
| SYMPHONY CLO XV, LTD. | Securitized Asset Fund | Cayman Islands | 1 | $300.4M | $250K |
| SYMPHONY CLO XX, LTD. | Securitized Asset Fund | Cayman Islands | 1 | $261.5M | $250K |
| SYMPHONY CLO XIX, LTD. | Securitized Asset Fund | Cayman Islands | 1 | $251.2M | $250K |
| NUVEEN CLO ISSUANCE FUND II, LP | Hedge Fund | Cayman Islands | 20 | $239.9M | $5.0M |
| SYMPHONY CLO XVI, LTD | Securitized Asset Fund | Cayman Islands | 1 | $201.0M | $250K |
| NUVEEN CLO ISSUANCE FUND, LP | Hedge Fund | Cayman Islands | 102 | $197.7M | $5.0M |
| NUVEEN CLO ISSUANCE FEEDER FUND II, LP | Hedge Fund | Delaware | 32 | $131.4M | $5.0M |
Showing 15 of 50 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| NEW YORK | NY | 73 | 212-490-900 |
| MINNEAPOLIS | MN | 38 | 612-303-3381 |
| CHARLOTTE | NC | 34 | 704-988-1000 |
| SAN FRANCISCO | CA | 33 | 415-433-2401 |
| LOS ANGELES | CA | 28 | 310-712-4000 |
| LONDON | — | 5 | +44 2037278000 |
| LONDON | — | 5 | +44 2037278000 |
| CLAYTON | MO | 3 | 314-854-1387 |
| CLAYTON | MO | 3 | 314-854-1387 |
| CENTRAL | — | 2 | +852 3556 1008 |
| CENTRAL | — | 2 | +852 3556 1008 |
| — | — | 1 | 212-916-4104 |
| — | — | 1 | 612-336-2319 |
| — | — | 1 | 212-916-4970 |
| — | — | 1 | 212-913-2809 |