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Northwestern Mutual Capital, LLC (Milwaukee)


Northwestern Mutual Capital, LLC is a large advisory firm based in Milwaukee. It manages $36.33 billion of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Wisconsin.

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Northwestern Mutual Capital provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and advise clients on developing their investment guidelines. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Northwestern Mutual Capital: assets under management

The assets under management (AUM) of Northwestern Mutual Capital, LLC is $36.33 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $36.33 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.03 billion each.
Northwestern Mutual Capital has custody of $456.38 million in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Northwestern Mutual Capital, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
General Electric Company Indirect parent, ge antares capital corp. 1 Oct 2005 75% - 100% 14-0689340
The Northwestern Mutual Life Insurance Company Sole member/parent, nm gp holdings, llc 1 Apr 2008 75% - 100% 39-0509570

Based in Milwaukee

The principal office where Northwestern Mutual Capital, LLC performs its advisory services is located at 720 East Wisconsin Ave., Milwaukee, WI 53202 4703, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 414-665-7800 or by fax 414-625-5653. The normal business hours are 8 a.m. to 5 p.m. on Monday - Friday. You can find more information about the New York firm at www.northwesternmutualcapital.com.


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