SEC-Registered Investment Adviser
Northwestern Mutual Investment Management Company, LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated May 6, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- December 9, 2020
- Principal office
- 720 East Wisconsin Avenue, Milwaukee, WI 53202-4797
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Other offices
- 1
Scale
- Regulatory AUM
- $323.1B
- Attributable to non-US clients
- $3.5B
- Accounts
- 32
- Clients
- 23
- Employees
- 246, 213 in advisory roles
- Private funds advised
- 25
- Private fund gross assets
- $5.1B
- Fund types
- 16 private equity funds
- Client assets in custody
- $809.5M (9 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients and selection of other advisers
- Compensated by
- a percentage of assets under management and performance-based fees
- Client types
- banking or thrift institutions (1); pooled investment vehicles (18); charitable organizations (1); insurance companies (3)
- Also engaged as
- commodity pool operator or commodity trading advisor
- Related persons include
- a broker-dealer, another investment adviser, a commodity pool operator or commodity trading advisor, a banking or thrift institution, a trust company, an insurance company or agency and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 14 investment advisers
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC order against the firm or an affiliate (Item 11C(4))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
- other regulator finding of a violation (Item 11D(2), 4 reported)
- other regulator order, denial, suspension or revocation (Item 11D(4), 7 reported)
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.