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NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC

MILWAUKEE, WI · CRD 307865 · IAPD ↗ · capital.northwesternmutual.com · 414-665-1444

$323.08BRegulatory AUM
213Advisory reps
246Employees
23Clients
n/aPlanning clients
25Private funds
11States
14Disclosures
fundSegment
ApprovedSEC status

Filing changes

67
April 2026 — NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC grew from 201 to 213 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
December 2025 — NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (13 -> 14).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
April 2025 — NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC's Item 11 disclosure-reporting entries rose by 1 (12 -> 13).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
April 2025 — NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC shrank from 247 to 201 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
32
April 2024 — NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC grew from 197 to 247 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
March 2024 — NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC's Item 11 disclosure-reporting entries rose by 3 (11 -> 14).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.