SourcingSourcing

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

C15
CRD 2881·SEC 801-8095·MILWAUKEE, WI
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD
2881
SEC file #
801-8095
EIN
000000000
DBA names
Northwestern Mutual Investment Services,llc

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
Banking Institutions1

Operations

Employees (total)
2,294
Advisory staff (per ADV)
15
Advisory staff (5-yr trend)
'20'26
1,466 advisors → 15 advisors▼ -99%
Primary office
MILWAUKEE WI
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Other Advisory Services
Fee basis
Fixed feesOther Compensation

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
x.com/nm_financial

Compliance

Disclosures (firm)
6
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
THE NORTHWESTERN MUTUAL LIFE
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
9
Control Persons
THE NORTHWESTERN MUTUAL LIFE
ALBERS, BRETT BERNARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:northwesternmutual.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001157174
Edgar Registered
Yes
Edgar Filing Count
47
Edgar First Filing Date
2002-06-06
Edgar Last Filing Date
2022-02-01
Edgar Form D Count
15
Edgar Form D Offerings
2022-02-012022-02-01 · 0001157174-22-000001
2021-02-052021-02-05 · 0001157174-21-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
1
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
8515 EAST ORCHARD ROADGREENWOOD VILLAGE, CO 80111
Business
8515 EAST ORCHARD ROADGREENWOOD VILLAGE, CO 80111
Edgar EIN
000000000
Edgar Recent Filings
D/A2022-02-01 · 0001157174-22-000001
D/A2021-02-05 · 0001157174-21-000001
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (58)

58
Brett Bernard Albers
Executive Officer · 2.5%
6669890
Quentin Michael Doll
Executive Officer · 2.5%
6776231
DAWN MARIE KALINOWSKI
Executive Officer · 2.5%
2770565
JEFF PAUL SCHLOEMER
Executive Officer · 2.5%
4020991
SCHULTZ, DEBORAH ALLISON
Executive Officer · 2.5%
7440134
TOMCZAK, BONNIE LYNN
Executive Officer · 2.5%
2966038
LAILA M VALTERS
Executive Officer · 2.5%
3010005
BRADLEY LEAHY EULL
Executive Officer · 2.5%
2969269
ANN WINIFRED NOBLE
IAR
1079461
SHIRLEY AGATHA MCFARLANE
IAR
1226506
THOMAS JOHN HARKINS
IAR
1423698
Nancy Eileen Barritt
IAR
1926417
JOANN MARIE SURRUSCO
IAR
2166903
CAROL ANN MEHAR
IAR
2241044
JILL RANEE SMITH
IAR
3169567
JENNIFER TRACY VIGON
IAR
3171786
SUREKHA V PURAM
IAR
3169253
JAMES J KENNEY
IAR
4128906
MARSHA ANN GALLO
IAR
4141790
JOSALYN GAYLE SNYDER
IAR
4082129
ANDREW BRENT HAILES
IAR
4143529
SHERI LYNN RENTSCHLER
IAR
4108714
JOHN PAUL RUEDINGER
IAR
4128570
BETH A PIETRZYKOWSKI
IAR
4127046
BRIAN JEREMY BODER
IAR
3257116
CHRISTINE HOPE HUNGER
IAR
3268677
CINDY MARIE VANDER HEIDEN
IAR
3169271
AARON PAUL NATALI
IAR
3264834
TRENNIE RENEE KARBOUSKI
IAR
4305953
LEE ALLEN LAMBERTH
IAR
4313976
BECKI WILLIAMS
IAR
4394637
JIMIN KAROLEWICZ
IAR
4376915
THEODORE ANDREW ANDERSEN
IAR
4391234
WALTER D COHN
IAR
4155459
PETER C KRAMER
IAR
4180634
DANIEL SAN JUAN BARIZO
IAR
4192459
CARL CORYDON MONRAD
IAR
4193219
MARY MARGARET BREWER
IAR
4184353
AMY L LOUGH
IAR
4167567
TERI B SMITH
IAR
4203355
BARTLETT JON OLEK
IAR
4441518
THEODORE EDWARD DUGGAN
IAR
4429931
VERONICA G REED
IAR
4430285
SHAUN W HAMPSTON
IAR
4409919
CARRIE ANN BILSKI
IAR
4451892
JENNIFER S. PAXTON
IAR
4451905
MICHAEL KEER ROSENMAN
IAR
4455821
Gary W Low
IAR
4468123
KERRI LEE ANDRESKA
IAR
4500155
BRIAN JOHN KOCSIS
IAR
4501344
JESSICA A MORGAN
IAR
4458002
JANET A WRIGHT
IAR
4475796
ADAM HAYNES TURNER
IAR
4512221
Keith Alroy Harris
IAR
4507874
TERESA ANN MILLER
IAR
4512819
BRIAN JOHN LIEDTKE
IAR
4359463
ANITA KATHARINE MARX
IAR
4527066
SARAH RAE FULTON
IAR
4530384