Nuveen Investments Delegates Portfolio Reporting to Affiliates

Affiliated managers take the lead in reporting the firm’s holdings for regulatory compliance.

February 11, 2025

Efficient Compliance Through Consolidation

Nuveen Investments, Inc., a leading institutional investment manager based in Chicago, has confirmed through a recent regulatory notice that its portfolio holdings are reported by affiliated managers. For the quarter ending December 31, 2024, the firm’s investment disclosures are being handled by two key subsidiaries: Nuveen Asset Management, LLC and Winslow Capital Management, LLC.

This strategic filing simplifies the firm’s reporting obligations. Rather than listing individual securities, the notice informs the Securities and Exchange Commission (SEC) that all holdings are disclosed under the filings of its affiliated managers. This consolidated approach ensures regulatory transparency while improving operational efficiency.

Affiliates Lead Reporting Responsibility

Nuveen Asset Management and Winslow Capital Management are responsible for providing detailed reports on Nuveen’s holdings. These filings offer regulators and investors a comprehensive view of the firm’s substantial investments across various sectors.

By assigning reporting duties to its subsidiaries, Nuveen optimizes compliance processes while adhering to SEC standards. This approach not only reduces redundancy but also streamlines the process for institutional investors seeking clarity on its portfolio.

The notice was signed on February 10, 2025, by Joseph Castro, Senior Managing Director of Compliance at Nuveen. It highlights the firm’s ongoing commitment to regulatory compliance and transparent reporting. Investors can access more detailed information on Nuveen’s holdings through the filings made by its affiliate managers.