Investment adviser · CRD 155584

NUVEEN ASSET MANAGEMENT, LLC

Investment adviser filing (IA)

CHICAGO, IL, United States · Form ADV filed Mar 24, 2026

Regulatory AUM: $280B
Client accounts: 65,258
Employees: 381
Advisory professionals: 296

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	138	$140,206,643,809	50.0%
Pooled investment vehicles	188	$44,390,759,907	15.8%
High-net-worth individuals	13,864	$40,012,883,399	14.3%
Individuals	48,733	$19,685,623,348	7.0%
Insurance companies	33	$16,069,369,907	5.7%
Corporations & businesses	2,029	$10,486,941,250	3.7%
Retirement plans	106	$7,229,182,433	2.6%
Government entities	44	$1,902,325,966	0.7%
Charities	119	$499,836,171	0.2%
Banks & thrifts	4	$1,079,780	0.0%

Filing source

Form ADV 2059903 · Mar 24, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

33 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

NUVEEN SENIOR LOAN FUND, LPOther Private Fund · Last reported Mar 24, 2026$672MGross asset value

Form D fundraising filings

BayCity Senior Loan Fund, L.P.

Fund administrator J.P. MORGAN HEDGE FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS SAN FRANCISCO, California, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 238

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-5877163958
Reported beneficial owners: 19
Minimum commitment: $5M
Form D file number: 021-163643

Form ADV 2059903 · Mar 24, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NUVEEN CORPORATE ARBITRAGE AND RELATIVE VALUE FUND, L.P.Hedge Fund · Last reported Mar 24, 2026$584MGross asset value

Form D fundraising filings

BayCity Corporate Arbitrage & Relative Value Fund, L.P.

Fund administrator J.P. MORGAN HEDGE FUND SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS SAN FRANCISCO, California, United States

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Custodian WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker WELLS FARGO PRIME SERVICES, LLC SAN FRANCISCO, California, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 238

J.P. MORGAN SECURITIES LLC
SEC 8-35008

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

WELLS FARGO PRIME SERVICES, LLC
SEC 8-66677

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-8708057562
Reported beneficial owners: 6
Minimum commitment: $5M
Form D file number: 021-244510

Form ADV 2059903 · Mar 24, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NUVEEN HIGH YIELD MUNICIPAL OPPORTUNITIES MASTER FUND LPHedge Fund · Last reported Mar 24, 2026$444MGross asset value

Feeder funds

NUVEEN HIGH YIELD MUNICIPAL OPPORTUNITIES FUND LP

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Some (provided to some but not all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CHICAGO, Illinois, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 238

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

Fund details & source

Fund ID: 805-7081567381
Reported beneficial owners: 1,081
Minimum commitment: $250K
Form D file number: 021-34221

Form ADV 2059903 · Mar 24, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CALIFORNIA STREET CLO IX LIMITED PARTNERSHIPSecuritized Asset Fund · Last reported Mar 24, 2026$420MGross asset value

Fund administrator BANK OF NEW YORK MELLON TRUST COMPANY, NA HOUSTON, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian BANK OF NEW YORK MELLON TRUST COMPANY, NA HOUSTON, Texas, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

BANK OF NEW YORK MELLON TRUST COMPANY, NA
LEI 549300R8IGRMSQWTWS69

Fund details & source

Fund ID: 805-2620981085
Reported beneficial owners: 1
Minimum commitment: $500K

Form ADV 2059903 · Mar 24, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SYMPHONY CLO XXVI, LTD.Securitized Asset Fund · Last reported Mar 24, 2026$395MGross asset value

Fund administrator U.S. BANK NATIONAL ASSOCIATION ST. PAUL, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian U.S. BANK NATIONAL ASSOCIATION ST. PAUL, Minnesota, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

U.S. BANK NATIONAL ASSOCIATION
LEI 6BYL5QZYBDK8S7L73M02

Fund details & source

Fund ID: 805-6610738505
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 2059903 · Mar 24, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SYMPHONY CLO XXII, LTD.Securitized Asset Fund · Last reported Mar 24, 2026$335MGross asset value

Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DEUTSCHE BANK TRUST COMPANY AMERICAS
LEI 8EWQ2UQKS07AKK8ANH81

Fund details & source

Fund ID: 805-8805395314
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 2059903 · Mar 24, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

SYMPHONY CLO XXI, LTD.Securitized Asset Fund · Last reported Mar 24, 2026$302MGross asset value

Fund administrator DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian DEUTSCHE BANK TRUST COMPANY AMERICAS SANTA ANA, California, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DEUTSCHE BANK TRUST COMPANY AMERICAS
LEI 8EWQ2UQKS07AKK8ANH81

Fund details & source

Fund ID: 805-6832700560
Reported beneficial owners: 1
Minimum commitment: $250K

Form ADV 2059903 · Mar 24, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 24, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management · Pension consulting · Selection of other advisers

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

333 WEST WACKER DRIVE
CHICAGO, IL, 60606, United States

CRD 155584

Filing source

Form ADV 2059903 · Mar 24, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.