Northwestern Mutual Investment Services,LLC

CRD#2881
Investment Advisor and Brokerage Firm

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Learn more about Northwestern Mutual Investment Services,LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Northwestern Mutual Investment Services, LLC is located at 720 East Wisconsin Avenue, Milwaukee, WI. The firm employs 15 financial advisors to manage client portfolios and provide financial guidance. Northwestern Mutual Investment Services, LLC is a registered broker-dealer.

    The firm offers other services and operates on a fixed and other fee structure. Its financial industry affiliations include broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, and commodity pool advisor. The firm serves banking institutions, which also represent the largest client type by accounts.

    Northwestern Mutual Investment Services, LLC is registered in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Vermont, Virginia, West Virginia, Wisconsin, Missouri, Washington, Texas, and New Hampshire.

    Number of Advisors

    15

    Disclosures

    No

    Office Location

    720 East Wisconsin Avenue
    Milwaukee, WI 53202-4797

    Northwestern Mutual Investment Services,LLC by the Numbers

    Total Number of Employees

    2,577

    National Average: 64
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    Fee Structure

    Fiancial advisory fees largely are based on the type of services provided. Fees billed by Northwestern Mutual Investment Services,LLC can include some combination of the following fee types: fixed and other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. It is able to withdraw the charges directly from client accounts.

    Available

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 69% of firms that offer this fee type

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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    Types of Clients

    The company caters to banking institutions. Northwestern Mutual Investment Services,LLC's largest client group by number of accounts is banking institutions. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 0%
    • Corporations - 100%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Northwestern Mutual Investment Services,LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

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    Financial Advisors at Northwestern Mutual Investment Services,LLC

    Evan Gregg
    Milwaukee, WI
    Thomas Engelhard
    Sarasota, FL
    Nicholas Johnson
    Hopkins, MN
    Broc Losing
    Saint Louis, MO
    Nathan Colborn
    Denver, CO
    Michael Crossley
    Dallas, TX
    Michael Andrews
    Lombard, IL
    Alexander Pohlmann
    West Des Moines, IA
    Sibghat Sheikh
    Indianapolis, IN

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