Harness the benefits of direct indexing

All investments carry a certain degree of risk, including possible loss of principal, and there is no assurance that an investment will provide positive performance over any period of time. It is important to review investment objectives, risk tolerance, tax liability and liquidity needs before choosing an investment style or manager.

Pursuant to the parties’ promotional/referral arrangement, Nuveen receives fees from Brooklyn when it refers prospective investment advisory business to Brooklyn. Nuveen’s parent also has a non-controlling, non-equity investment in Brooklyn. These business relationships create financial and other business incentives for Nuveen to refer business to Brooklyn and to promote Brooklyn and its advisory offerings.

Nuveen Asset Management, LLC (“Nuveen”) receives fees from Brooklyn Investment Group, LLC (“Brooklyn”) when it refers prospective investment advisory business to Brooklyn. As a result, Nuveen has financial incentives to refer business to Brooklyn, which create a conflict of interest. Nuveen is not, itself, a client of Brooklyn or an investor in any funds managed by Brooklyn.

Nuveen Asset Management, LLC and Brooklyn Investment Group, LLC – Relationship Information: Nuveen Asset Management, LLC (“Nuveen”) and Brooklyn Investment Group, LLC (“Brooklyn”) have a variety of business relationships, including for subadvisory, overlay management, model portfolio delivery and promotional/referral services. Certain separate account strategy offerings, such as certain tax advantaged strategies, are offered on a parallel basis by both firms. While such parallel strategy offerings are substantially similar from an investment standpoint, there are functional, operational, trading, servicing and other differences between the offerings. There are also separate and distinct marketing materials and fees for the parallel offerings that should be reviewed before making an investment decision. Pursuant to the parties’ promotional/referral arrangement, Nuveen receives fees from Brooklyn when it refers prospective investment advisory business to Brooklyn. Specifically, Brooklyn generally pays Nuveen 50% of the management fees that Brooklyn receives from clients referred to Brooklyn by Nuveen. Nuveen’s parent also has a non-controlling, non-equity investment in Brooklyn. These business relationships create financial and other business incentives for Nuveen to refer business to Brooklyn and to promote Brooklyn and its advisory offerings.