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Nwq Investment Management Company, LLC (Los Angeles)


Nwq Investment Management Company, LLC is a large advisory firm based in Los Angeles. It manages $7.65 billion of regulatory assets for 3,012 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

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Nwq Investment Management Company provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nwq Investment Management Company: assets under management

The assets under management (AUM) of Nwq Investment Management Company, LLC is $7.65 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 11% since the beginning of its operation, and $983.79 million of the total AUM is attributable to clients outside of the United States.


The firm manages $7.65 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.54 million each.

Investments

The firm invests in exchange traded securities the most. They account for 69% of the total AUM. The second-largest asset type is government bonds, which make up 15% of the firm’s portfolio. Investments in investment grade corporate bonds form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nwq Investment Management Company, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Nwq Investment Management Company serves?

The firm provides services to investment companies, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Nwq Investment Management Company is investment companies with 15 clients and $3.86 billion of assets under management. Among the 8 most similar advisory firms, Nwq Investment Management Company has the 2nd highest percentage of investment companies out of all clients.


The amount of regulatory assets under management is $6.61 billion for 99 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Nwq Investment Management Company doesn't advise any private funds.

Careers at Nwq Investment Management Company, LLC

The company employs 40 people that are either part- or full-time employees. 58 percent of the employees work as investment advisers or researchers. 8 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Jon Daniel Bosse Chief investment officer, managing director 1 Aug 2000 Other 2872066
The John Nuveen Company Managing member 1 May 2002 75% - 100% 36-3817266
Inc. Nuveen Investments Managing member 1 May 2002 75% - 100% 36-3817266
Michael Casares Mendez Chief executive officer, managing director 1 Aug 2002 Other 2273279
Edward Clarence Friedel Managing director, portfolio manager 1 Aug 2002 Other 1989219
Gerald Willis Wheeler General counsel & cco 1 Aug 2004 Other 2510139
Nwq Holdings Llc Managing member 1 Feb 2006 75% - 100% 02-0767175
Llc Nwq/Tradewinds Holdings Managing member 1 Feb 2006 75% - 100% 02-0767175
Jon Daniel Bosse Co-president, chief investment officer & portfolio manager 1 Jun 2006 Other 2872066
John Edward Conlin Co-president, chief operating officer 1 Jun 2006 Other 1206146
Mary Elizabeth Keefe Chief compliance officer 1 Jun 2006 Other 4755249
Sandra Pelle Tichenor Chief compliance officer 1 May 2007 Other 4331808
Avi Mark Mizrachi Managing director, general counsel & chief compliance officer 1 Jul 2010 Other 4042875
Llc Nuveen Nwq Holdings Managing member 1 Sep 2011 75% - 100% 36-4709028
Llc Nwq Partners Managing member 1 Dec 2015 75% - 100% 30-0892190
Craig Odell Bailey Executive vice president 1 Jan 2018 Other 1540354
Thomas Joseph Lavia Managing director 1 Jan 2018 Other 3076080
Thomas Ray Managing director 1 Jan 2018 Other 2192435
Phyllis Gregory Thomas Senior managing director 1 Jan 2018 Other 2260500
Mary Ann C. Iudice Chief compliance officer 1 May 2018 Other 2796437
Jon Daniel Bosse Co-head of nwq, chief investment officer 1 Apr 2019 Other 2872066
Thomas Joseph Lavia Co-head of nwq, head of research 1 Apr 2019 Other 3076080

Indirect Owners

The SEC currently registers 30 indirect owners.

Name Entity Date acquired Ownership Employer ID
The St. Paul Companies Beneficial stockholder 1 Sep 1997 75% - 100% 41-0518860
Inc. Nuveen Investments Managing member 1 Feb 2006 75% - 100% 36-3817266
Inc. Nuveen Holdings Shareholder 1 Nov 2007 75% - 100% 26-0373324
L.P. Madison Dearborn Capital Partners V A Member 1 Nov 2007 75% - 100% 20-3771357
L.P. Madison Dearborn Partners V A&C General partner 1 Nov 2007 Other 20-3771466
Llc Mdcp Holdco (Windy) Member majority manager 1 Nov 2007 25% - 50% 26-1187203
Inc. Merrill Lynch & Co. Owner 1 Nov 2007 75% - 100% 13-2740599
Inc. Merrill Lynch Group Owner 1 Nov 2007 75% - 100% 13-3408205
Inc. Ml Ibk Positions Limited partner 1 Nov 2007 75% - 100% 13-3596352
Lp Mlgpe Fund Us Ii Owner 1 Nov 2007 75% - 100% 26-0667033
Lp Mlgpe Partners Ii General partner 1 Nov 2007 Other 98-0545047
Mlgpe U.S. Strategies Llc Member minority manager 1 Nov 2007 25% - 50% 26-0667033
L.L.C. Windy City Investments Holdings Owner 1 Nov 2007 75% - 100% 26-0373462
Inc. Windy City Investments Owner 1 Nov 2007 75% - 100% 26-0373324
Merrill Lynch Gp Inc. General partner 1 Nov 2007 Other 13-3540361
Llc Windy City Investments Holdings Owner 1 Nov 2007 75% - 100% 26-0373462
Madison Dearborn Partners General partner 1 Nov 2007 Other 157349
Ml Windy City Investments Holdings Llc Member minority manager 1 Feb 2008 25% - 50% 26-0667033
Bank Of America Corporation Owner 1 Dec 2008 75% - 100% 56-0906609
Inc. Nuveen Investments Managing member 1 Sep 2011 75% - 100% 36-3817266
Tiaa Board Of Overseers Shareholder 1 Oct 2014 75% - 100% 13-6110585
Teachers Insurance And Annuity Association Of America Member 1 Oct 2014 75% - 100% 13-1624203
Llc Tiaa Asset Management Member 1 Oct 2014 75% - 100% 47-1595484
Llc Tiaa Asset Management Finance Company Shareholder 1 Oct 2014 75% - 100% 47-1563437
Llc Nuveen Member 1 Oct 2014 75% - 100% 47-1595484
Llc Tiaa Global Asset Management Member 1 Oct 2014 75% - 100% 47-1595484
Llc Tam Finance Company Shareholder 1 Oct 2014 75% - 100% 47-1563437
Llc Nuveen Nwq Holdings Managing member 1 Dec 2015 75% - 100% 30-0892190
Llc Nuveen Finance Shareholder 1 Jan 2017 75% - 100% 47-1563437
Inc. Nuveen Holdings 1 Shareholder 1 Jan 2017 75% - 100% 81-3425820

Based in Los Angeles

The principal office where Nwq Investment Management Company, LLC performs its advisory services is located at 2029 Century Park East, Los Angeles, CA 90067, which is also the mailing address of the firm. An additional office of the firm is in Minneapolis, MN. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-712-4000 or by fax 310-712-4100. The normal business hours are 6:30am - 5:00pm on Monday - Friday. You can find more information about the New York firm at nwq.com.


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