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NWQ INVESTMENT MANAGEMENT COMPANY, LLC
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% .  
 
NWQ INVESTMENT MANAGEMENT COMPANY, LLC also reported in Mar 2019
  • 40 employees, with 23 performing advisory functions.
  • A total of 3 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
NWQ INVESTMENT MANAGEMENT COMPANY, LLC has one or more disclosure events currently on file with the SEC.
 

View NWQ INVESTMENT MANAGEMENT COMPANY, LLC's most recent Form ADV filing
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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


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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