DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

NWQ INVESTMENT MANAGEMENT COMPANY, LLC

CRD 121876

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7594503d-db1a-d16f-774a-b3483015c478

Data as of Nov 11, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 4
On other graphs: 0
Observed: Mar 30, 2012 to Nov 11, 2021
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $9.6BItem 5.F on the latest filing (2021-11-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.6B
Private client RAUM: $50.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 35
Advisory employees: 21
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,925
Individual clients: 0
High net worth clients: 15
SEC number: 801-61379
CRD: 121876
Filings on the tape: 30
First filed: Mar 30, 2012
Latest filed: Nov 11, 2021
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
NWQ ENERGY CROSSOVER MASTER FUND LIMITED	Hedge Fund	$6.9M	Nov 18, 2013	16	Mar 30, 2012	dropped	021-116733
NWQ CONCENTRATED MASTER FUND LIMITED	Hedge Fund	$2.9M	Nov 18, 2013	2	Mar 30, 2012	dropped	021-103382

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOSSE, JON, DANIEL	CO-HEAD OF NWQ, CHIEF INVESTMENT OFFICER	Na	yes	04/2019	Mar 30, 2012	Nov 11, 2021
IUDICE, MARY ANN, C.	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	05/2018	May 1, 2018	Nov 11, 2021
LAVIA, THOMAS, JOSEPH	CO-HEAD OF NWQ, HEAD OF RESEARCH	Na	yes	04/2019	Mar 6, 2018	Nov 11, 2021
MIZRACHI, AVI, MARK	SENIOR MANAGING DIRECTOR, GENERAL COUNSEL	Na	yes	07/2010	Mar 30, 2012	Nov 11, 2021
NUVEEN FINANCE, LLC	Shareholder	E	yes	01/2017	Mar 31, 2017	Nov 11, 2021
NUVEEN HOLDINGS 1, INC.	Shareholder	E	yes	01/2017	Mar 31, 2017	Nov 11, 2021
NUVEEN HOLDINGS, INC.	Shareholder	E	yes	11/2007	Mar 16, 2015	Nov 11, 2021
NUVEEN INVESTMENTS, INC.	MANAGING MEMBER	E	yes	09/2011	Mar 30, 2012	Nov 11, 2021
NUVEEN NWQ HOLDINGS, LLC	MANAGING MEMBER	E	yes	12/2015	Mar 30, 2012	Nov 11, 2021
NUVEEN, LLC	Member	E	yes	10/2014	Mar 31, 2017	Nov 11, 2021
NWQ PARTNERS, LLC	MANAGING MEMBER	E	yes	12/2015	Mar 16, 2016	Nov 11, 2021
TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA	Member	E	yes	10/2014	Oct 3, 2014	Nov 11, 2021
TIAA BOARD OF OVERSEERS	Shareholder	E	yes	10/2014	Oct 3, 2014	Nov 11, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
TEACHERS ADVISORS, LLC	n/a	Former SEC adviser	$436B	N	yes	n/a
TIAA-CREF INVESTMENT MANAGEMENT LLC	n/a	Asset manager	$292B	N	yes	n/a
NUVEEN ASSET MANAGEMENT, LLC	n/a	Mixed wealth	$280B	N	yes	n/a
NUVEEN FUND ADVISORS, LLC	n/a	Asset manager	$186B	N	yes	n/a
NUVEEN ALTERNATIVES ADVISORS LLC	n/a	Institutional manager	$142B	N	yes	n/a
CHURCHILL ASSET MANAGEMENT LLC	n/a	Other adviser	$56B	N	yes	n/a
WINSLOW CAPITAL MANAGEMENT LLC	n/a	Asset manager	$29B	N	yes	n/a
GRESHAM INVESTMENT MANAGEMENT LLC	n/a	Other adviser	$8.6B	N	yes	n/a
SANTA BARBARA ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$7.5B	N	yes	n/a
NUVEEN CHURCHILL ADVISORS LLC	n/a	Asset manager	$2.1B	N	yes	n/a
GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$1.3B	N	yes	n/a
AGR PARTNERS LLC	n/a	Asset manager	$1.2B	N	yes	n/a
NUVEEN ASSET MANAGEMENT EUROPE SARL	n/a	n/a	n/a	N	yes	n/a
NUVEEN MANAGEMENT AIFM LIMITED	n/a	n/a	n/a	N	yes	n/a
NUVEEN REAL ESTATE MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
NUVEEN SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
NUVEEN SINGAPORE PRIVATE LTD	n/a	n/a	n/a	N	yes	n/a
WESTCHESTER GROUP REAL ESTATE, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Minneapolis	Mn	United States	1	no
Tokyo	n/a	Japan	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 31, 2021	$9.6B	$9.6B	35	21	2	n/a	n/a
2019	Mar 30, 2020	$10B	$10B	43	22	2	n/a	n/a
2018	Mar 29, 2019	$7.6B	$7.6B	40	23	2	n/a	n/a
2017	Mar 6, 2018	$9.6B	$9.6B	35	24	1	n/a	n/a
2016	Mar 31, 2017	$9.0B	$9.0B	54	28	n/a	n/a	n/a
2015	Mar 16, 2016	$8.9B	$8.9B	52	27	n/a	n/a	n/a
2014	Mar 16, 2015	$11B	$11B	47	20	n/a	n/a	n/a
2013	Mar 28, 2014	$14B	$14B	46	18	n/a	n/a	n/a
2012	Mar 28, 2013	$14B	$14B	47	16	n/a	2	$9.8M
2011	Mar 30, 2012	$17B	$17B	n/a	n/a	n/a	2	$64.5M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$9.6B	$10B	-5.5%	$9.6B	-0.2%	35	43	2	2

Relationships

Affiliated with (19)

→ NUVEEN FUND ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ WINSLOW CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ TEACHERS ADVISORS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ TIAA-CREF INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GRESHAM INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ SANTA BARBARA ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ GREENWOOD RESOURCES CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NUVEEN ALTERNATIVES ADVISORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ CHURCHILL ASSET MANAGEMENT LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ AGR PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ CHURCHILL DLC ADVISOR LLCRegistered adviserother investment adviser, common control
factForm ADV
← SANTA BARBARA ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← GREENWOOD RESOURCES CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← SYMPHONY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← TIAA ADVISORY, LLCRegistered adviserother investment adviser, common control
factForm ADV
← NUVEEN CAPITAL MARKETS LLCRegistered adviserother investment adviser, common control
factForm ADV
← NUVEEN INVESTMENTS ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← TRADEWINDS GLOBAL INVESTORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (12)

← IUDICE, MARY ANN, C.OwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 1, 2018 to presentfactForm ADV
← BOSSE, JON, DANIELOwnerCO-HEAD OF NWQ, CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← LAVIA, THOMAS, JOSEPHOwnerCO-HEAD OF NWQ, HEAD OF RESEARCH, ownership code NA, individual
Mar 6, 2018 to presentfactForm ADV
← MIZRACHI, AVI, MARKOwnerSENIOR MANAGING DIRECTOR, GENERAL COUNSEL, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← NUVEEN FINANCE, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 31, 2017 to presentfactForm ADV
← NUVEEN HOLDINGS 1, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 31, 2017 to presentfactForm ADV
← NUVEEN HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 16, 2015 to presentfactForm ADV
← NUVEEN INVESTMENTS, INC.OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← NUVEEN NWQ HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← NWQ PARTNERS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 16, 2016 to presentfactForm ADV
← TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICAOwnerMEMBER, ownership code E, domestic entity
Oct 3, 2014 to presentfactForm ADV
← TIAA BOARD OF OVERSEERSOwnerSHAREHOLDER, ownership code E, domestic entity
Oct 3, 2014 to presentfactForm ADV

Registered with (3)

← CRAIG ODELL BAILEYAdvisorregistration: previous registration
Feb 1, 2008 to Aug 26, 2019factForm ADV
← BRADLEY DAVID OLALDEAdvisorregistration: previous registration
Sep 25, 2018 to Aug 13, 2019factForm ADV
← MOIRA SALMON HUCKAdvisorregistration: previous registration
Jan 1, 2000 to Feb 7, 2003factForm ADV

Advises (2)

→ NWQ ENERGY CROSSOVER MASTER FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Nov 18, 2013factForm ADV
→ NWQ CONCENTRATED MASTER FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Nov 18, 2013factForm ADV

Dated events

Occurred
Mar 30, 2020
Regulatory AUM changed
Nwq Investment Management Company, Llc reported RAUM $10.1B, up 33% from $7.6B (2019-09-12 to 2020-03-30)
Form ADVobserved 6 days ago
$2.5B
Occurred
Sep 12, 2019
Control person left
Odell Craig Bailey (Executive Vice President) no longer on Schedule A of Nwq Investment Management Company, Llc (listed 2019-07-22, absent 2019-09-12)
Form ADVobserved 6 days ago
Occurred
Sep 12, 2019
Control person left
Thomas Ray (Managing Director) no longer on Schedule A of Nwq Investment Management Company, Llc (listed 2019-07-22, absent 2019-09-12)
Form ADVobserved 6 days ago
Occurred
Jul 22, 2019
Control person left
Gregory Phyllis Thomas (Senior Managing Director) no longer on Schedule A of Nwq Investment Management Company, Llc (listed 2019-04-22, absent 2019-07-22)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7594503d-db1a-d16f-774a-b3483015c478
First observed: Mar 30, 2012
Last observed: Nov 11, 2021 59 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NWQ INVESTMENT MANAGEMENT COMPANY, LLC

CRD 121876

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7594503d-db1a-d16f-774a-b3483015c478

Data as of Nov 11, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NWQ ENERGY CROSSOVER MASTER FUND LIMITED

Hedge Fund

$6.9M

Nov 18, 2013

Mar 30, 2012

dropped

021-116733

NWQ CONCENTRATED MASTER FUND LIMITED

Hedge Fund

$2.9M

Nov 18, 2013

Mar 30, 2012

dropped

021-103382

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOSSE, JON, DANIEL

CO-HEAD OF NWQ, CHIEF INVESTMENT OFFICER

yes

04/2019

Mar 30, 2012

Nov 11, 2021

IUDICE, MARY ANN, C.

MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER

yes

05/2018

May 1, 2018

Nov 11, 2021

LAVIA, THOMAS, JOSEPH

CO-HEAD OF NWQ, HEAD OF RESEARCH

yes

04/2019

Mar 6, 2018

Nov 11, 2021

MIZRACHI, AVI, MARK

SENIOR MANAGING DIRECTOR, GENERAL COUNSEL

yes

07/2010

Mar 30, 2012

Nov 11, 2021

NUVEEN FINANCE, LLC

Shareholder

yes

01/2017

Mar 31, 2017

Nov 11, 2021

NUVEEN HOLDINGS 1, INC.

Shareholder

yes

01/2017

Mar 31, 2017

Nov 11, 2021

NUVEEN HOLDINGS, INC.

Shareholder

yes

11/2007

Mar 16, 2015

Nov 11, 2021

NUVEEN INVESTMENTS, INC.

MANAGING MEMBER

yes

09/2011

Mar 30, 2012

Nov 11, 2021

NUVEEN NWQ HOLDINGS, LLC

MANAGING MEMBER

yes

12/2015

Mar 30, 2012

Nov 11, 2021

NUVEEN, LLC

Member

yes

10/2014

Mar 31, 2017

Nov 11, 2021

NWQ PARTNERS, LLC

MANAGING MEMBER

yes

12/2015

Mar 16, 2016

Nov 11, 2021

TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA

Member

yes

10/2014

Oct 3, 2014

Nov 11, 2021

TIAA BOARD OF OVERSEERS

Shareholder

yes

10/2014

Oct 3, 2014

Nov 11, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TEACHERS ADVISORS, LLC

n/a

Former SEC adviser

$436B

yes

n/a

TIAA-CREF INVESTMENT MANAGEMENT LLC

n/a

Asset manager

$292B

yes

n/a

NUVEEN ASSET MANAGEMENT, LLC

n/a

Mixed wealth

$280B

yes

n/a

NUVEEN FUND ADVISORS, LLC

n/a

Asset manager

$186B

yes

n/a

NUVEEN ALTERNATIVES ADVISORS LLC

n/a

Institutional manager

$142B

yes

n/a

CHURCHILL ASSET MANAGEMENT LLC

n/a

Other adviser

$56B

yes

n/a

WINSLOW CAPITAL MANAGEMENT LLC

n/a

Asset manager

$29B

yes

n/a

GRESHAM INVESTMENT MANAGEMENT LLC

n/a

Other adviser

$8.6B

yes

n/a

SANTA BARBARA ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$7.5B

yes

n/a

NUVEEN CHURCHILL ADVISORS LLC

n/a

Asset manager

$2.1B

yes

n/a

GREENWOOD RESOURCES CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$1.3B

yes

n/a

AGR PARTNERS LLC

n/a

Asset manager

$1.2B

yes

n/a

NUVEEN ASSET MANAGEMENT EUROPE SARL

n/a

yes

n/a

NUVEEN MANAGEMENT AIFM LIMITED

n/a

yes

n/a

NUVEEN REAL ESTATE MANAGEMENT LIMITED

n/a

yes

n/a

NUVEEN SECURITIES, LLC

n/a

yes

n/a

NUVEEN SINGAPORE PRIVATE LTD

n/a

yes

n/a

WESTCHESTER GROUP REAL ESTATE, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Minneapolis

United States

Tokyo

n/a

Japan

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$9.6B

n/a

2019

Mar 30, 2020

$10B

n/a

2018

Mar 29, 2019

$7.6B

n/a

2017

Mar 6, 2018

$9.6B

n/a

2016

Mar 31, 2017

$9.0B

n/a

2015

Mar 16, 2016

$8.9B

n/a

2014

Mar 16, 2015

$11B

n/a

2013

Mar 28, 2014

$14B

n/a

2012

Mar 28, 2013

$14B

n/a

$9.8M

2011

Mar 30, 2012

$17B

n/a

$64.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$9.6B

$10B

-5.5%

$9.6B

-0.2%