SourcingSourcing

NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC

C30
CRD 307865·SEC 801-119948·MILWAUKEE, WI
AUM
$323.08B
$1B+
Est. Revenue
$3.23B
@ 1% on AUM
Est. EBITDA
$969.2M
@ 30% margin
Est. Deal Value
$7.75B
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC
CRD
307865
SEC file #
801-119948
EIN
452034777
DBA names
—

Economics

AUM
$323.08B
AUM band
$1B+
AUM trajectory
'21'26
$265.54B → $323.08B▲ +22%
Client mix
Pooled Investment Vehicles18
Insurance Companies3
Banking Institutions1
Charitable Organizations1

Operations

Employees (total)
246
Advisory staff (per ADV)
213
Advisory staff (5-yr trend)
'21'26
178 advisors → 213 advisors▲ +20%
Primary office
MILWAUKEE WI
Branches
—

Custodian & Brokerage

Primary custodian
Northern Trustlow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
capital.northwesternmutual.com/index.html

Compliance

Disclosures (firm)
5
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
THE NORTHWESTERN MUTUAL
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
10
Control Persons
THE NORTHWESTERN MUTUAL
AUTH, RAYMOND, JACOB
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

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
5
Form 5500 Total Compensation
8,034,620
Form 5500 Compensation Trajectory 3y
20258,034,620
Form 5500 Plan Count Trajectory 3y
20255
Schedule C Total Compensation
8,034,620
Schedule C Service Provider Rows
5

SEC EDGAR

Edgar Cik
0001629649
Edgar Registered
Yes
Edgar Filing Count
64
Edgar First Filing Date
2015-05-15
Edgar Last Filing Date
2026-05-08
Edgar 13f Count
60
Edgar 13f Latest AUM Estimate
Filing Date2026-05-08
Accession0001629649-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Northern Trust24
Bny Mellon20
U.s. Bank12
E*trade4
Jpmorgan2
Edgar Addresses
Mailing
720 EAST WISCONSIN AVENUEMILWAUKEE, WI 53202
Business
720 EAST WISCONSIN AVENUEMILWAUKEE, WI 53202
Edgar EIN
452034777
Edgar Recent Filings
13F-HR2026-05-08 · 0001629649-26-000002
13F-HR2026-02-05 · 0001629649-26-000001
Fee Schedule
Bracket Vi57
Bracket Xii22
Bracket X5
Bracket Vii4
Bracket I3
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (9)

9
AUTH, RAYMOND, JACOB
Executive Officer · 2.5%
7488248
BENTLEY, JOHN, EMERSON
Executive Officer · 2.5%
6613753
JULKA, DANIEL, JOSEPH
Executive Officer · 2.5%
4465323
SCHULTZ, DEBORAH ALLISON
Executive Officer · 2.5%
7440134
SMITH, JASON, DALE
Executive Officer · 2.5%
8020332
ZALE, THOMAS, DAVID
Executive Officer · 2.5%
7308482
Dodge, Cindy, Marie
Executive Officer · 2.5%
8177427
FLESCH, DANIEL, MICHAEL
Executive Officer · 2.5%
8022314
Gabrys, Matthew, Eugene
Executive Officer · 2.5%
8179819