DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Northwestern Mutual Investment Services,LLC
Legal name Northwestern Mutual Investment Services, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 53 filings
SEC status approved since Dec 10, 1971
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2,136
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2,294
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Mar 29, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1,976 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)2,294 as of Mar 31, 2026
Mar 27, 20133,095 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2,341 to 1,976
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2135.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -16%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1976.0derived
Advisors registered through the firm
2,136 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Dale Reeter | Houston, Tx | Jan 1, 2002 | 42 y | 0 |
| Timothy Wayne Carmean | The Woodlands, Tx | Jan 1, 2002 | 39 y | 0 |
| John Joseph Barrett | Milwaukee, Wi | Mar 28, 2002 | 30 y | 1 |
| Phillip James Hicks | Milwaukee, Wi | Mar 28, 2002 | 28 y | 1 |
| Philippe Michael Ortiz | Wauwatosa, Wi | Mar 28, 2002 | 28 y | 0 |
| Cindy Ann Mickelson | Waterford, Wi | Mar 28, 2002 | 30 y | 0 |
| William Joseph Duffy | Franklin, Wi | Mar 28, 2002 | 27 y | 0 |
| Mary Lee Odem | Milwaukee, Wi | Mar 28, 2002 | 28 y | 0 |
| David Paul Cerny | Waukesha, Wi | Mar 28, 2002 | 37 y | 0 |
| Patrick Thomas Horne | Waukesha, Wi | Mar 28, 2002 | 49 y | 1 |
| Debra Blevons Wascher | Appleton, Wi | Mar 28, 2002 | 37 y | 0 |
| Ronald Scott Schwertfeger | Whitefish Bay, Wi | Apr 8, 2002 | 33 y | 0 |
| Francis Joseph OppoldChartered Financial Consultant | Ames, Ia | Oct 30, 2002 | 51 y | 0 |
| Donald Eugene ReedChartered Financial Consultant | Asheville, Nc | Oct 30, 2002 | 47 y | 1 |
| Gordon Peter Gruenes | Chicago, Il | Oct 30, 2002 | 36 y | 0 |
| Dana Frederick PottsChartered Financial Consultant | Hinsdale, Il | Oct 30, 2002 | 46 y | 0 |
| Andrew James HigneyChartered Financial Consultant | Chicago, Il | Oct 30, 2002 | 37 y | 0 |
| Keith Allen ErhardChartered Financial Consultant | W Des Moines, Ia | Oct 30, 2002 | 41 y | 0 |
| Steven Mcnair ThagardChartered Financial Consultant | Orlando, Fl | Oct 31, 2002 | 44 y | 0 |
| Christian Dill | Oak Brook, Il | Nov 1, 2002 | 35 y | 2 |
| Brian Drew SullivanCertified Financial Planner | Richmond, Va | Nov 6, 2002 | 38 y | 1 |
| Edward John KoznarekCertified Financial Planner | Hinsdale, Il | Nov 6, 2002 | 49 y | 1 |
| Alan Elliot RobbinsChartered Financial Consultant | Saint Louis, Mo | Dec 5, 2002 | 39 y | 0 |
| Arthur Eise Barbiche | Bozeman, Mt | Dec 9, 2002 | 46 y | 0 |
| John Lawwrence GilfoilChartered Financial Consultant | Wilbraham, Ma | Dec 13, 2002 | 48 y | 0 |
| Thomas Stephen Sperber | Cincinnati, Oh | Jan 30, 2003 | 28 y | 0 |
| Michael Aaron Waxberg | Calabasas, Ca | Feb 10, 2003 | 30 y | 1 |
| Benjamin Neilson Moen | Milwaukee, Wi | Aug 6, 2003 | 25 y | 1 |
| Steven Dale Carlson | Wheaton, Il | Aug 28, 2003 | 48 y | 0 |
| Scott David Butler | Owings Mills, Md | Sep 4, 2003 | 37 y | 0 |
| Robert Todd GrandyChartered Financial Consultant | Hunt Valley, Md | Sep 4, 2003 | 37 y | 0 |
| Gregg Takashi Fujimoto | Honolulu, Hi | Sep 11, 2003 | 52 y | 0 |
| Randall Eugene DalyChartered Financial Consultant | Billings, Mt | Sep 12, 2003 | 48 y | 0 |
| James E Newcombe | Keene, Nh | Sep 18, 2003 | 45 y | 0 |
| Paul Martin Isgar | Orlando, Fl | Sep 23, 2003 | 29 y | 0 |
| Joseph Britton Faris | Indianapolis, In | Oct 8, 2003 | 59 y | 0 |
| Fredric Mackey Schneider | Atlanta, Ga | Oct 9, 2003 | 45 y | 2 |
| Thomas Wallace HubbardCertified Financial Planner | Gilbert, Az | Oct 16, 2003 | 39 y | 0 |
| Mark Foster Cox | Evansville, In | Oct 27, 2003 | 35 y | 0 |
| Daniel Ford CastinoChartered Financial Consultant | Skokie, Il | Dec 12, 2003 | 35 y | 1 |
Advisor movement
150 left, 194 joined in 12 months
net +44 in 12 months27 left in 90 days38 joined in 90 daysdeparture rate 7.0% of current headcount412 left over 36 months
Left, latest
- Allen Paul Gardner Brown to Northwestern Mutual Wealth Management CompanySep 14, 2026 · Other
- Schanice Lanae' Staples to Cetera Investment Advisers LLCSep 14, 2026 · Other
- Diedric Berg to Fisher InvestmentsSep 10, 2026 · Other
- Rebecca L Bast to Onepoint Bfg Wealth PartnersSep 8, 2026 · Other
- Jean Belcher Gadd to Onepoint Bfg Wealth PartnersSep 2, 2026 · Other
- Matthew Jeffrey Stehle to Citizens Securities, Inc.Aug 31, 2026 · Other
- Ryan Landmark to Osaic Wealth, Inc.Aug 31, 2026 · Other
- Lauri Ann Smith to Trajan Wealth, L.L.C.Aug 28, 2026 · Other
- Theodore J. Kuczarski to Onepoint Bfg Wealth PartnersAug 25, 2026 · Other
- Olivia Denise Payne to Cwm, LLCAug 20, 2026 · Other
- Kurt William Mattson to Cwm, LLCAug 17, 2026 · Other
- Steven Cook to Global Retirement Partners LLCAug 6, 2026 · Other
- Karina Lynn Maher Viles to Retirement Evolutions Wealth Management LLCAug 3, 2026 · Other
- Samuel G Moscatelli to U.S. Bancorp Advisors, LLCJul 30, 2026 · Other
- Jacob Dean Sonne to MML Investors Services, LLCJul 28, 2026 · Other
Joined, latest
- Louis Cuomo from Tsg Alpha Partners, LLCSep 15, 2026 · Other
- Seth Cave from Ellerbrock-Norris Wealth Strategies LLCSep 11, 2026 · Other
- Rebekah Hasenmueller from Ameriprise Financial Services, LLCSep 10, 2026 · Other
- Jackson Bush from Foguth Wealth Management, LLC.Sep 10, 2026 · Other
- Lauryn Ashley Mcintyre from Ameriprise Financial Services, LLCSep 10, 2026 · Other
- Ariel Olson from Wells Fargo AdvisorsSep 4, 2026 · Other
- Ruxandra E Phillips from Mmg Wealth ManagementSep 2, 2026 · Other
- Mark Ohler from Ameriprise Financial Services, LLCSep 1, 2026 · Other
- Jonathan Edward Nowak from Morgan StanleyAug 27, 2026 · Other
- Michelle Villagrana from Cetera Investment Advisers LLCAug 25, 2026 · Other
- Christopher Castillo from Morgan StanleyAug 25, 2026 · Other
- Schuyler Wesley King from LPL Enterprise, LLCAug 19, 2026 · Other
- Eric Fernandes from Cetera Investment Advisers LLCAug 13, 2026 · Other
- Stephanie Smolka from Capital Client Group, Inc.Aug 4, 2026 · Other
- Jared Tyler Slyh from Advisory Services NetworkAug 3, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Onepoint Bfg Wealth PartnersAug 25, 2026 · Tampa, Fl
- 2 left for Cwm, LLCAug 17, 2026 · Atlanta, Ga
- 3 left for LPL Financial LLCMay 18, 2026 · Seattle, Wa
- 2 left for Onepoint Bfg Wealth PartnersApr 7, 2026 · Orlando, Fl
- 3 left for Composition Wealth, LLCMar 16, 2026 · Tacoma, Wa
- 4 left for Onepoint Bfg Wealth PartnersFeb 3, 2026 · Minneapolis, Mn
- 7 left for Mariner IndependentJan 5, 2026 · Baton Rouge, La
- 2 left for MML Investors Services, LLCDec 31, 2025 · Knoxville, Tn
- 2 joined from Thrivent Investment Management Inc.Apr 22, 2026 · Fishers, In
- 2 joined from Equitable Advisors, LLCJan 8, 2026 · Melville, Ny
- 2 joined from First Command Advisory ServicesDec 16, 2024 · Haslet, Tx
- 2 joined from B. Riley Wealth Advisors, Inc.May 6, 2024 · Dallas, Tx
- 2 joined from Morgan StanleyMar 21, 2024 · Alpharetta, Ga
- 2 joined from T. Rowe Price Advisory Services, Inc.Jul 12, 2023 · Parker, Co
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 13, 2022 · New York, Ny
- 2 joined from Robert W. Baird & Co. IncorporatedJul 18, 2022 · Franklin, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Quentin Michael Doll · Vice President - Risk Productscontrolsince 08/2021 · owns less than 5%
- Dawn Marie Kalinowski · Vice President - Chief Operations Officercontrolsince 12/2023 · owns less than 5%
- Nicole Ellen Lund · Vice President And Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- Deborah Allison Schultz · Vice President And Chief Risk Officercontrolsince 02/2023 · owns less than 5%
- Bonnie Lynn Tomczak · Vice President - Wealthcontrolsince 11/2024 · owns less than 5%
- Laila M Valters · President And Ceocontrolsince 08/2024 · owns less than 5%
- Jared A Ward · Treasurer/Finopcontrolsince 01/2022 · owns less than 5%
- Bradley Leahy Eull · Secretarysince 12/2018 · owns less than 5%
Entity owners
- The Northwestern Mutual Life Insurance Company · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Iron Key Insurance Services, LLCreal estaten
- Mason Street Advisors, LLCinvestment adviserbanknRAUM $39B
- Nmc V Gp, LLCinvestment adviserpooled vehicle sponsorn
- Nmc Vi Gp, LLCinvestment adviserpooled vehicle sponsorn
- Nmpe I Gp, LLCinvestment adviserpooled vehicle sponsorn
- Nmpe II Gp, LLCinvestment adviserpooled vehicle sponsorn
- Nmpe III Gp, LLCinvestment adviserpooled vehicle sponsorn
- Nmpe IV Gp, LLCinvestment adviserpooled vehicle sponsorn
- Northwestern Long Term Care Insurance Companyreal estaten
- Northwestern Mutual Capital Equity Gp Vii, LLCinvestment adviserpooled vehicle sponsorn
- Northwestern Mutual Capital Gp II, LLCinvestment adviserpooled vehicle sponsorn
- Northwestern Mutual Capital Gp III, Lllcinvestment adviserpooled vehicle sponsorn
- Northwestern Mutual Capital Gp IV, LLCinvestment adviserpooled vehicle sponsorn
- Northwestern Mutual Capital Gp, LLCinvestment adviserpooled vehicle sponsorn
- Northwestern Mutual Investment Management Company, LLCinvestment adviserbanknRAUM $323B
- Northwestern Mutual Wealth Management Companyn
- The Northwestern Mutual Life Insurance Companyreal estatey
- Wysh Life And Health Insurance Companyreal estaten
Advisers that list Northwestern Mutual Investment Services,LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Milwaukee, Wi · principal | 150 | 30 | 3 | ||
| New York, Ny | 70 | 26 | 6 | ||
| Atlanta, Ga | 48 | 4 | 2 | 1 | |
| Indianapolis, In | 36 | 5 | 3 | ||
| Chicago, Il | 34 | 3 | 0 | ||
| Albany, Ny | 31 | 6 | 0 | ||
| Pittsburgh, Pa | 29 | 2 | 2 | ||
| Saint Louis, Mo | 28 | 4 | 2 | ||
| Cincinnati, Oh | 26 | 1 | 1 | ||
| Houston, Tx | 26 | 2 | 0 | ||
| Tampa, Fl | 24 | 3 | 2 | 1 | |
| Raleigh, Nc | 24 | 3 | 0 | ||
| Irvine, Ca | 24 | 10 | 3 | ||
| Nashville, Tn | 23 | 2 | 1 | ||
| Franklin, Wi | 21 | 4 | 0 | ||
| Charlotte, Nc | 21 | 2 | 3 | ||
| W Des Moines, Ia | 20 | 2 | 0 | ||
| Denver, Co | 19 | 9 | 1 | ||
| Orlando, Fl | 19 | 0 | 3 | 1 | |
| Bloomington, Mn | 19 | 9 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 2,252 to 1,976Nov 10, 2025 to Mar 31, 2026
- Employees · 2,577 to 2,294Nov 10, 2025 to Mar 31, 2026
- State-registered IARs · 2,252 to 1,976Nov 10, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0May 1, 2025 to Nov 10, 2025
- Advisory employees · 0 to 15Feb 25, 2025 to May 1, 2025
- BD registered reps · 2,399 to 2,252Feb 25, 2025 to May 1, 2025
- Employees · 2,537 to 2,577Feb 25, 2025 to May 1, 2025
- State-registered IARs · 2,341 to 2,252Feb 25, 2025 to May 1, 2025
- Accounts · unset to 0.0Nov 6, 2024 to Feb 25, 2025
- Discretionary RAUM · unset to 0.0Nov 6, 2024 to Feb 25, 2025
- Non-discretionary RAUM · unset to 0.0Nov 6, 2024 to Feb 25, 2025
- RAUM · unset to 0.0Nov 6, 2024 to Feb 25, 2025
- BD registered reps · 2,125 to 2,399Feb 26, 2024 to Mar 28, 2024
- Employees · 2,125 to 2,537Feb 26, 2024 to Mar 28, 2024
- State-registered IARs · 2,125 to 2,341Feb 26, 2024 to Mar 28, 2024
- Advisory employees · 2,170 to 0Mar 30, 2022 to Mar 30, 2023
- BD registered reps · 2,216 to 2,125Mar 30, 2022 to Mar 30, 2023
- Employees · 2,216 to 2,125Mar 30, 2022 to Mar 30, 2023
- State-registered IARs · 2,170 to 2,125Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 2,239 to 2,170Jan 18, 2022 to Mar 30, 2022
- BD registered reps · 2,477 to 2,216Jan 18, 2022 to Mar 30, 2022
- Employees · 2,496 to 2,216Jan 18, 2022 to Mar 30, 2022
- State-registered IARs · 2,336 to 2,170Jan 18, 2022 to Mar 30, 2022
- Advisory employees · 1,466 to 2,239Feb 3, 2021 to Mar 31, 2021
- BD registered reps · 1,570 to 2,477Feb 3, 2021 to Mar 31, 2021
- Employees · 1,597 to 2,496Feb 3, 2021 to Mar 31, 2021
- State-registered IARs · 1,459 to 2,336Feb 3, 2021 to Mar 31, 2021
- Advisory employees · 1,541 to 1,466May 22, 2018 to Mar 21, 2019
- Advisory activities · 2 to 1May 22, 2018 to Mar 21, 2019
- BD registered reps · 1,645 to 1,570May 22, 2018 to Mar 21, 2019
- Employees · 1,672 to 1,597May 22, 2018 to Mar 21, 2019
- State-registered IARs · 1,534 to 1,459May 22, 2018 to Mar 21, 2019
- Advisory employees · 1,966 to 1,541Aug 29, 2017 to Mar 26, 2018
- BD registered reps · 2,079 to 1,645Aug 29, 2017 to Mar 26, 2018
- Employees · 2,097 to 1,672Aug 29, 2017 to Mar 26, 2018
- State-registered IARs · 1,958 to 1,534Aug 29, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Aug 29, 2017 to Mar 26, 2018
- Advisory employees · 1,359 to 1,966Mar 30, 2016 to Mar 28, 2017
- BD registered reps · 1,516 to 2,079Mar 30, 2016 to Mar 28, 2017
- Employees · 1,526 to 2,097Mar 30, 2016 to Mar 28, 2017
Signals
60 dated events
- James Dietter no longer holds an investment adviser registration (last listed at Northwestern Mutual Investment Services,Llc on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- Matteo Silvano Garofalo registered as an investment adviser representative at Northwestern Mutual Investment Services,LlcSep 15, 2026 · Advisor registered · fact
- Louis Cuomo registered as an investment adviser representative at Northwestern Mutual Investment Services,LlcSep 15, 2026 · Advisor registered · fact
- Tyler Cameron Norby no longer holds an investment adviser registration (last listed at Northwestern Mutual Investment Services,Llc on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Allen Paul Gardner Brown no longer holds an investment adviser registration (last listed at Northwestern Mutual Investment Services,Llc on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Schanice Lanae' Staples left Northwestern Mutual Investment Services,Llc for Cetera Investment Advisers LLC (registered 2026-09-11)Sep 14, 2026 · Advisor changed firm · fact
- Allen Paul Gardner Brown left Northwestern Mutual Investment Services,Llc for Northwestern Mutual Wealth Management Company (registered 2006-11-16)Sep 14, 2026 · Advisor changed firm · fact
- Diedric Berg left Northwestern Mutual Investment Services,Llc for Fisher Investments (registered 2026-09-15)Sep 10, 2026 · Advisor changed firm · fact
- Rebecca L Bast left Northwestern Mutual Investment Services,Llc for Onepoint Bfg Wealth Partners (registered 2026-09-14)Sep 8, 2026 · Advisor changed firm · fact
- Jean Belcher Gadd left Northwestern Mutual Investment Services,Llc for Onepoint Bfg Wealth Partners (registered 2026-09-09)Sep 2, 2026 · Advisor changed firm · fact
- Matthew Jeffrey Stehle left Northwestern Mutual Investment Services,Llc for Citizens Securities, Inc. (registered 2026-09-09)Aug 31, 2026 · Advisor changed firm · fact
- Ryan Landmark left Northwestern Mutual Investment Services,Llc for Osaic Wealth, Inc. (registered 2026-08-31)Aug 31, 2026 · Advisor changed firm · fact
- Lauri Ann Smith left Northwestern Mutual Investment Services,Llc for Trajan Wealth, L.L.C. (registered 2026-08-31)Aug 28, 2026 · Advisor changed firm · fact
- Theodore J. Kuczarski left Northwestern Mutual Investment Services,Llc for Onepoint Bfg Wealth Partners (registered 2026-09-04)Aug 25, 2026 · Advisor changed firm · fact
- 2 advisors left Northwestern Mutual Investment Services,Llc (Tampa, FL) for Onepoint Bfg Wealth Partners within 8 daysAug 25, 2026 · Team lift-out · derived
- Olivia Denise Payne left Northwestern Mutual Investment Services,Llc for Cwm, Llc (registered 2026-08-17)Aug 20, 2026 · Advisor changed firm · fact
- Kurt William Mattson left Northwestern Mutual Investment Services,Llc for Cwm, Llc (registered 2026-08-17)Aug 17, 2026 · Advisor changed firm · fact
- 2 advisors left Northwestern Mutual Investment Services,Llc (Atlanta, GA) for Cwm, LLC within 3 daysAug 17, 2026 · Team lift-out · derived
- Steven Cook left Northwestern Mutual Investment Services,Llc for Global Retirement Partners Llc (registered 2026-08-18)Aug 6, 2026 · Advisor changed firm · fact
- Karina Lynn Maher Viles left Northwestern Mutual Investment Services,Llc for Retirement Evolutions Wealth Management Llc (registered 2026-08-21)Aug 3, 2026 · Advisor changed firm · fact
- Samuel G Moscatelli left Northwestern Mutual Investment Services,Llc for U.S. Bancorp Advisors, Llc (registered 2026-09-08)Jul 30, 2026 · Advisor changed firm · fact
- Jacob Dean Sonne left Northwestern Mutual Investment Services,Llc for Mml Investors Services, Llc (registered 2026-07-28)Jul 28, 2026 · Advisor changed firm · fact
- Christopher Glenn Thomason left Northwestern Mutual Investment Services,Llc for Mai Capital Management, Llc (registered 2026-08-17)Jul 28, 2026 · Advisor changed firm · fact
- Tyler Franks left Northwestern Mutual Investment Services,Llc for Lpl Enterprise, Llc (registered 2026-08-12)Jul 24, 2026 · Advisor changed firm · fact
- Zachary J Soper left Northwestern Mutual Investment Services,Llc for Thrivent Investment Management Inc. (registered 2026-09-10)Jul 24, 2026 · Advisor changed firm · fact
- Jonathan Villalona left Northwestern Mutual Investment Services,Llc for Morgan Stanley (registered 2026-07-21)Jul 13, 2026 · Advisor changed firm · fact
- Pierluigi Neri left Northwestern Mutual Investment Services,Llc for Morgan Stanley (registered 2026-07-21)Jul 10, 2026 · Advisor changed firm · fact
- Daniel L Anderson left Northwestern Mutual Investment Services,Llc for Foguth Wealth Management, Llc. (registered 2026-07-24)Jul 9, 2026 · Advisor changed firm · fact
- Brian Reith Patterson left Northwestern Mutual Investment Services,Llc for Advisors Capital Management, Llc (registered 2026-07-24)Jul 1, 2026 · Advisor changed firm · fact
- Alexandra Eisenberger left Northwestern Mutual Investment Services,Llc for Edward Jones (registered 2026-06-02)Jun 26, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Northwestern Mutual Investment Services,llc · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/NORTHWESTERN-MUTUALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NORTHWESTERNMUTUAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-950-4644reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026