Nwq Investment Management Company, LLC

CRD#121876
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

or call us now at 1-888-467-5419

Overview

Nwq Investment Management Company, LLC is a financial advisor company based in Los Angeles, California. The firm controls $10.1 billion in total assets across 2,578 client accounts, making it one of the biggest investment advisory firms in the nation by assets under management (AUM). It has an average-sized group of 43 employees, of which 22 are financial advisors. Nwq Investment Management Company, LLC is not a registered broker-dealer, meaning the firm is not able to buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer company to do so. Securities are tradable fiscal investments such as bonds, equities and options.

Nwq Investment Management Company, LLC manages all of the company's accounts on a discretionary basis. Discretionary management means that an investment advisor has the discretion to make transaction choices without requiring the client's consent. The advisory firm manages about $3.9 million for every client account. An average financial advisor at Nwq Investment Management Company, LLC oversees around 117 client accounts.

Nwq Investment Management Company, LLC's central office is at 2029 Century Park East, Los Angeles, California 90067. Nwq Investment Management Company, LLC is registered to provide services to investors throughout 51 U.S. states and territories.

Assets Under Management

$10.1 billion

Number of Advisors

22

Disclosures

No

Office Location

2029 Century Park East
Los Angeles, CA 90067

Nwq Investment Management Company, LLC by the Numbers

Total Assets Under Management

$10.1 billion

National Average: $3.7 billion
Total Number of Employees

43

National Average: 29
Total Number of Accounts

2,578

National Average: 2,073
Average Account Size

$3.9 million

National Average: $1.8 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Fee Structure

A financial advisor's fees largely vary depending on the type of financial services offered. However, fee types billed by the company most likely include the following fee structures: asset-based or performance-based. Nwq Investment Management Company, LLC participates in a wrap fee program, in which the firm offers a bundle of services for a single fee.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 17% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

Back to Overview

Types of Clients

The firm works with a number of different clients. Nwq Investment Management Company, LLC caters to high net worth investors, investment companies, pooled investment vehicles, pension plans, corporations and other. Out of its 2,578 customers, Nwq Investment Management Company, LLC's largest client type is other, though it also serves 16 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its clients reside abroad.

  • High-Net-Worth Individuals* - 0.62%
  • Other Individuals - 0%
  • Corporations - 99.38%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Nwq Investment Management Company, LLC does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

Financial Advisors at Nwq Investment Management Company, LLC

James Stephenson
Los Angeles, CA
Michael Mullane
Los Angeles, CA
Peter Boardman
Los Angeles, CA
Thuy Nga Nguyen
Los Angeles, CA
Raymond Urban
Los Angeles, CA
Jon Bosse
Los Angeles, CA
Sharon Castro
Los Angeles, CA

Not sure which advisor is right for you? Use our matching tool

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today

Back to Overview

This content was compiled from the SEC and FINRA