Large Firm

NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC

720 East Wisconsin Avenue, Milwaukee WI 53202-4797

Firm Details

The basic information about the firm.

Violations

This firm has reported a violation. Please see Form ADV on the SEC website for more information. Here

Assets Under Management (AUM)

This is the total number of dollars the firm holds in client assets

$281,345,911,200.00

Number of Accounts

This is the total number of open accounts the firm has under management.

25

Number of Employees

This is the total number of employees that work at the firm.

260

Investment Employees

Investment employees includes any individual that is employed by the firm that may directly make financial decisions on behalf of the client

247

Custody of Assets

Investment employees includes any individual that is employed by the firm that may directly make financial decisions on behalf of the client

True

Services & Fee Structure & Activities

Information about the services offered and fee structure.

Services

Pooled Investment ManagementBusiness Investment ManagementSelection of Other Advisors

Fee Structure

Percentage of Assets Under Management

Activities

  • Principal Transactions
  • Trade/Sell Self-Recommended Securities
  • Recommend Own Interest Securities
  • Recommend Underwritten Securities
  • Securities Buy/Sell Client Account
  • Trade Quantity
  • Use of Broker-Dealer
  • Commission Rate

Clients

Information about the firm's clients.

High Net Worth Clients

A client that has either: greater than $750,000 in investable assets or a $1,500,000 net worth

0

High Net Worth AUM

This is the total number of assets under management for all clients the firm identifies as high net worth

N/A

Pension Profit Sharing Clients

Clients of the firm that participate in a profit sharing plan which the firm performs financial services

0

Charitable Organization Clients

Number of clients the firm identifies as Charitable Organizations

0

Charitable Organization AUM

Total number of assets under management for clients the form identifies as a “charitable organization”

$116,450,966.00

Corporate Clients

Corporate clients are any companies that enlist the investment adviser for wealth management services

0

Corporate AUM

Total number of assets under management for clients the form identifies as “corporate”

N/A

None US Client Percentage

This is the total number of open accounts the firm has under management.

7%