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Nuveen Fund Advisors, LLC: investment adviser

Nuveen Fund Advisors, LLC is an investment adviser registered with the SEC (file 801-14147, CRD 104626). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.

Assets managed
$186.3B
Discretionary
100%
Accounts
235
Employees
137
In advisory roles
25
Disclosures
2

SEC adviser record · Full Form ADV (PDF)

The firm reports no custody of client cash or securities.

Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.

Clients and fees

Whom the firm advises and how it is paid, from Items 5.D, 5.E and 5.G.

Client typeClientsAssetsShare
Registered funds142$147.4B79.1%
Private funds and other pooled vehicles93$38.9B20.9%

How it is paid

  • A percentage of assets under your management

Services

  • Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to section 54 of the Investment Company Act of 1940)
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Selection of other advisers (including private fund managers)

Who owns it

Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.

Direct owners (Schedule A)

OwnerTypeRoleStakeSinceControlPublic company
Nuveen Consolidated, LLCCompany (U.S.)Managing memberE 75% or moreNov 2025Yes

Indirect owners (Schedule B)

OwnerOwns a stake inTypeStakeControlPublic company
Teachers Insurance and Annuity Association of AmericaNuveen, LLCCompany (U.S.)E 75% or moreYes
TIAA Board of GovernersTeachers Insurance and Annuity Association of AmericaCompany (U.S.)E 75% or moreYes

Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.

Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.

Disciplinary history

What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.

Item 11 questions answered Yes

These questions cover the firm and its advisory affiliates.

  • Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
  • Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?

Actions about affiliates (2)

  1. Mar 24, 2020
    Regulatory Action: Illinois Department of Insurance FinalAbout an affiliate: Teachers Insurance andSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $18,000 · Begun Mar 3, 2020 · Resolved Mar 24, 2020 · Stipulation and Consent · Docket N/A

    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); and failure to notify beneficiaries of the availability of interest at the time of claim submission, as required by 215 ilcs 5/224(1)(I).

    On March 2, 2020, the Illinois Department of Insurance (IDI) issued a market conduct examination verified report and stipulation and consent order in connection with a market conduct examination of Teachers Insurance and annuity association of america ("TIAA"). Without admitting fault, liability, or wrongdoing, TIAA agreed to a stipulation and consent order (the "consent order") finding that it violated sections 50 ill. Adm. Code 919.70(a)(2) for not providing a "notice of availability of the department of insurance" and for not providing beneficiaries with a reasonable written explanation of delay of claim payment beyond 45 days; and violated 215 ilcs 5/224(1)(I) for not notifying beneficiaries of the availability of interest at the time of claim submission. The IDI imposed a civil forfeiture of $18,000 for TIAA.

    This matter does not involve Nuveen Fund Advisors, LLC or Nuveen, LLC. No information Filed

  2. Mar 17, 2016
    Regulatory Action: New York Department of Financial Services FinalAbout an affiliate: Teachers Insurance andSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $18,112 · Begun Mar 17, 2016 · Resolved Mar 17, 2016 · Stipulation and Consent · Docket STATE OF NY STIPULATION NO. 2016-0045-S

    Alleged violations of various provisions of New York insurance laws.

    On March 17, 2016, TIAA entered into a stipulation with the New York Department of Financial Services ("NYDFS") to, among other things, findings by NYDFS that TIAA violated various provisions of New York insurance law. The stipulation cited violations of NYDFS regulation 60 and regulation 152 related to replacement and recordkeeping requirements. TIAA paid a civil penalty in the amount of $18,112. The stipulation covered the exam period 01/2005 through 12/2008. NYDFS has assessed the remediation plan during the subsequent examination in 2013 with no findings or violations identified related to replacement, illustration, disclosure and recordkeeping requirements.

    This matter does not involve Nuveen Fund Advisors, LLC or Nuveen, LLC.

Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.

The brochure

No brochure text was read for this firm.

Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.