NUVEEN
57 known aliases resolved via the canonical alias map
Market position · 2024
Plans served42+3 YoYRank #416 of mapped providers
Assets under administration$100.8B0.1%Market share · rank #150
Fees received$7MMedian $13,421/planSum across Schedule C direct + indirect
Net wins YoY+29 won · 7 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical NUVEEN plan look like?
Service mix · median fees per plan
Count of plans where NUVEEN ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Soft dollars commissions; Investment management fees paid directly by plan; Investment management; Investment management fees paid indirectly by planCode 28 | 37 | $2,456 | |
Investment management fees paid directly by planCode 51 | 3 | $111,502 | |
Accounting (including auditing); Investment management fees paid indirectly by planCode 10 | 1 | $0 | |
Investment management fees paid indirectly by planCode 52 | 1 | $0 |
Competitor overlap
Percent of NUVEEN's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under NUVEEN.
| Sponsor | From | Assets |
|---|---|---|
THE HARKER SCHOOLCA · 941613808-002 | NFP RETIREMENT INC | $68M |
ROSE COMPANIES EMPLOYER, LLCOH · 813982831-002 | WELLS FARGO BANK, N.A. | $36M |
HIGH COUNTRY BEVERAGE CORPORATIONCO · 841341843-001 | COLUMBIA | $19M |
SNAG HOLDINGS, INC.VA · 811028052-001 | TIAA | $16M |
CORE POWER YOGA, LLCCO · 810653514-001 | T ROWE PRICE RPS INC | $5M |
INFINITY TECHNOLOGY SERVICES, LLCCO · 204331064-002 | (new plan) | $4M |
PREGEL AMERICA, INC.NC · 562252404-001 | (new plan) | $3M |
THE HIDEAWAY CLUB STAFFING, LLCCA · 843764348-001 | AMERICAN CENTURY | $2M |
CREATURE COMFORTS BREWING COMPANY,GA · 455034383-001 | (new plan) | $2M |
Plans lost in 2024
Appeared last year under NUVEEN; not this year.
| Sponsor | To | Assets |
|---|---|---|
CHARTER COMMUNICATIONS, INC.NC · 841496755-001 | STATE STREET GLOBAL ADVISORS | $2.6B |
QUAD/GRAPHICS, INC.WI · 391152983-003 | MARINER LLC | $2.1B |
IDAHO OPERATING ENGINEERS-EMPLOYERS PENSWA · 916075538-001 | WELFARE & PENSION ADMIN SERVICE INC | $137M |
BOARD OF TRUSTEES OF SOUTHWESTERN ILLINOIS LABORERS ANNUITY FUNDIL · 371221230-001 | (new plan) | $77M |
COVIA HOLDINGS CORPORATIONOH · 132656671-003 | AON CONSULTING | $59M |
BRANFORD FILTRATION, LLC DBA FIBRIX FILTRATIONNC · 852075925-001 | JP MORGAN INVESTMENT MANAGEMENT INC | $7M |
THE TOMORROW COMPANIES INC.MA · 611778389-001 | BAIRD FUNDS | $3M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
WALMART INC.AR · 710415188-003 | $50.8B | 1,970,230 | $979,352 | 6y | - |
PACIFIC GAS AND ELECTRIC COMPANYCA · 940742640-001 | $17.6B | 58,892 | $813,653 | 10y | - |
JPMORGAN CHASE BANK, NATIONAL ASSOCIATIONNJ · 134994650-001 | $16.1B | 202,919 | $315,781 | 2y | - |
TRAVELERS COMPANIES, INC.MN · 410518860-001 | $4.2B | 45,786 | $2M | 10y | - |
BOARD OF DIRECTORS OF PENTEGRA DEFINED BENEFIT PLANNY · 135645888-333 | $3.0B | 15,292 | $213,081 | 5y | - |
BD OF TEES OF ELEVATOR CONSTRUCTORS UNION LOCAL NO. 1 ANNUITY & 401K FNJ · 516124191-001 | $1.7B | 4,276 | $225,326 | 10y | 1 |
BOARD OF TRUSTEES OF GC-NPFIL · 526118568-001 | $1.5B | 26,608 | $30,022 | 1y | - |
BOARD OF TRUSTEES OF THE U.A. LOCAL NO. 393 DEFINED BENEFIT PENSIONCA · 946359772-002 | $1.0B | 3,823 | $918,148 | 10y | - |
FEDERATED MUTUAL INSURANCE COMPANYMN · 410417460-001 | $789M | 4,742 | $173,145 | 10y | - |
BOARD OF TRUSTEES OF THE U.A. LOCAL NO. 393 DEFINED CONTRIBUTION PLANCA · 946075617-003 | $772M | 3,349 | $980,462 | 10y | 1 |
Flag exposure
92.9%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (57)
Raw Schedule C names collapsed into NUVEEN.
- AMERICAN UNITED NUVEEN
- NGAM
- NGAM ADVISORS
- NGAM ADVISORS LLP
- NGAM ADVISORS, L.P.
- NGAM ADVISORS, LP
- NGAM NATIXIS
- NUVEEN
- NUVEEN ASSET MANAGEMENT
- NUVEEN ASSET MANAGEMENT COMPANY LLC
- NUVEEN ASSET MANAGEMENT LLC
- NUVEEN ASSET MANAGEMENT, LLC
- NUVEEN ASSET MGMT LLC
- NUVEEN CORE IMPACT BOND R6
- NUVEEN EMERGING
- NUVEEN FUND
- NUVEEN FUND ADVISORS INC.
- NUVEEN FUND ADVISORS LLC
- NUVEEN FUND ADVISORS, LLC
- NUVEEN FUND ADVISORS, LLC.
- NUVEEN FUND INVESTORS, LLC
- NUVEEN FUNDS
- NUVEEN FUNDS NUVEEN GRESHAM DIV COM
- NUVEEN INTERNATIONAL
- NUVEEN INVESTMENT FUNDS
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for NUVEEN's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 2 | 4.76% | 7.76% | -3.00 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 10 | 23.81% | 1.71% | +22.10 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 8 | 19.05% | 1.76% | +17.29 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with NUVEEN. Compare to the incumbent market share (0.1%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.1 pp vs incumbent