Investment adviser · CRD 121876
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
Investment adviser filing (IA)
LOS ANGELES, CA, United States · Form ADV filed Nov 11, 2021
- Regulatory AUM
- $9.57B Form ADV · Item 5.F
- Client accounts
- 1,925 Accounts, not individual clients
- Employees
- 35 Reported in this filing
- Advisory professionals
- 21 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Investment companies | 13 | $4,233,296,478 | 44.2% |
| Pooled investment vehicles | 6 | $2,706,394,479 | 28.3% |
| Retirement plans | 18 | $1,328,223,111 | 13.9% |
| Other clients | 1,861 | $645,261,479 | 6.7% |
| Corporations & businesses | 6 | $353,894,828 | 3.7% |
| Insurance companies | Fewer than 5 | $199,111,106 | 2.1% |
| High-net-worth individuals | 15 | $50,482,241 | 0.5% |
| Government entities | Fewer than 5 | $50,043,974 | 0.5% |
| Charities | Fewer than 5 | $8,143,056 | 0.1% |
Filing source
Form ADV 1577285 · Nov 11, 2021 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
2 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
NWQ ENERGY CROSSOVER MASTER FUND LIMITEDHedge Fund · Last reported Nov 18, 2013$6.88MGross asset value
Feeder funds
- NWQ ENERGY CROSSOVER FUND, LP
- NWQ ENERGY CROSSOVER FUND LIMITED
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464
MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869
Fund details & source
- Fund ID
- 805-3848690591
- Reported beneficial owners
- 16
- Minimum commitment
- $1M
- Form D file number
- 021-116731
- Form D file number
- 021-116733
Form ADV 767366 · Nov 18, 2013 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
NWQ CONCENTRATED MASTER FUND LIMITEDHedge Fund · Last reported Nov 18, 2013$2.93MGross asset value
Feeder funds
- NWQ CONCENTRATED FUND, LP
- NWQ CONCENTRATED FUND LIMITED
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- Yes
NUVEEN SECURITIES, LLC
CRD 469 · SEC 8-13464
MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869
Fund details & source
- Fund ID
- 805-4742282136
- Reported beneficial owners
- 2
- Minimum commitment
- $1M
- Form D file number
- 021-103382
- Form D file number
- 021-103384
Form ADV 767366 · Nov 18, 2013 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Services & filing details
Most recent filing: Nov 11, 2021. View historical filings
Reported services
Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management
Compensation
Percentage of assets · Performance-based
Principal office
2029 CENTURY PARK EAST, 16TH FLOORLOS ANGELES, CA, 90067, United States
CRD 121876
Filing source
Form ADV 1577285 · Nov 11, 2021 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.