NWQ INVESTMENT MANAGEMENT COMPANY, LLC
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NWQ INVESTMENT MANAGEMENT COMPANY, LLC
(CRD# 121876)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Los Angeles, CA.
The SEC approved the firm to operate as an RIA in
Aug 2002.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$7.6 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
10%
of RAUM.
Non-US investors represent
13%
.
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NWQ INVESTMENT MANAGEMENT COMPANY, LLC
also reported in
Mar 2019
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40
employees,
with
23
performing advisory functions.
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A total of 3 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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NWQ INVESTMENT MANAGEMENT COMPANY, LLC has one or more disclosure events currently on file with the SEC.
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NWQ INVESTMENT MANAGEMENT COMPANY, LLC has Notice Filings with the following State Securities Authorities: AK-Aug 2002, AL-Aug 2002, AR-Aug 2002, AZ-Aug 2002, CA-Aug 2002
, CO-Aug 2002, CT-Aug 2002, DC-Aug 2002, DE-Mar 2003, FL-Aug 2002
, GA-Aug 2002, HI-Aug 2002, IA-Aug 2002, ID-Aug 2002, IL-Aug 2002
, IN-Aug 2002, KS-Aug 2002, KY-Aug 2002, LA-Aug 2002, MA-Sep 1997
, MD-Aug 2002, ME-Aug 2002, MI-Aug 2002, MN-Aug 2002, MO-Aug 2002
, MS-Aug 2002, MT-Aug 2002, NC-Aug 2002, ND-Aug 2002, NE-Aug 2002
, NH-Aug 2002, NJ-Aug 2002, NM-Aug 2002, NV-Aug 2002, NY-Aug 2002
, OH-Aug 2002, OK-Aug 2002, OR-Aug 2002, PA-Aug 2002, PR-Aug 2002
, RI-Aug 2002, SC-Aug 2002, SD-Aug 2002, TN-Aug 2002, TX-Aug 2002
, UT-Aug 2002, VA-Aug 2002, VI-Mar 2010, VT-Aug 2002, WA-Aug 2002
, WI-Aug 2002, WV-Aug 2002, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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