Form D · Other Banking and Financial Services
NWQ INVESTMENT MANAGEMENT COMPANY, LLC
Los Angeles, CA · CIK 0000763848
Offering snapshot reported Apr 30, 2020 · SEC filing
- Reported sold
- $0 Indefinite offering
- Investors reported
- 19 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Feb 28, 2019 As reported in this filing
Fundraising history
Reported soldDates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.
What changed?
Latest filing versus its linked predecessor, where available.
- Reported investors18 → 19
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Apr 30, 2020 | Amendment | $0 | $0vs Mar 19, 2019 | 19 | SEC filing |
| Mar 19, 2019 | Initial | $0 | No comparison | 18 | SEC filing |
| Mar 11, 2015 | Amendment | $0 | $0vs Nov 13, 2013 | 31 | SEC filing |
| Nov 13, 2013 | Amendment | $0 | $0vs Oct 31, 2012 | 25 | SEC filing |
| Oct 31, 2012 | Amendment | $0 | $0vs Nov 15, 2011 | 25 | SEC filing |
| Nov 15, 2011 | Initial | $0 | No comparison | 23 | SEC filing |
Offering details
- Securities
- Equity, Other
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-335134
Offering consists of the issuance and grant of certain Units, which represent a profits interest in the Issuer, which were granted without cash consideration.
Limited Liability Company interests in the form of "Units"
Source: Form D, filed Apr 30, 2020. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Craig Odell Bailey | Executive |
| Jon Daniel Bosse | Executive |
| John E. Conlin | Executive |
| Mary Ann C. Iudice | Executive |
| Thomas Joseph Lavia | Executive |
| Avi Mark Mizrachi | Executive |
| N/A Nuveen Investments, Inc. | Promoter |
| N/A Nuveen Nwq Holdings, Llc | Promoter |
| N/A Nwq Partners, Llc | Promoter |
| Thomas Ray | Executive |
| Phyllis Gregory Thomas | Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:Los Angeles, CA, 90067