NORTHWESTERN MUTUAL INVESTMENT SERV
146 known aliases resolved via the canonical alias map
Market position · 2024
Plans served419+10 YoYRank #65 of mapped providers
Assets under administration$14.6B0.0%Market share · rank #891
Fees received$13MMedian $24,327/planSum across Schedule C direct + indirect
Net wins YoY+1679 won · 63 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical NORTHWESTERN MUTUAL INVESTMENT SERV plan look like?
Service mix · median fees per plan
Count of plans where NORTHWESTERN MUTUAL INVESTMENT SERV ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Redemption fees; Investment advisory (plan)Code 27 | 197 | $27,652 | |
Other services; Other fees; Other commissionsCode 49 | 56 | $12,251 | |
Other commissionsCode 55 | 51 | $18,019 | |
Investment management; Securities brokerage; Investment management fees paid directly by plan; Investment advisory (participants)Code 26 | 39 | $25,539 | |
Trustee (bank, trust company, or similar financial institution); Recordkeeping fees; Other fees; Direct payment from the plan; Recordkeeping and information management (computing, tabulating, data processing, etc.); Other servicesCode 15 | 23 | $31,193 | |
Other feesCode 99 | 20 | $22,000 | |
Investment advisory (plan); Consulting (general)Code 16 | 10 | $31,715 | |
Shareholder servicing fees; Investment managementCode 28 | 9 | $25,005 |
Competitor overlap
Percent of NORTHWESTERN MUTUAL INVESTMENT SERV's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under NORTHWESTERN MUTUAL INVESTMENT SERV.
| Sponsor | From | Assets |
|---|---|---|
BOARD OF TRUSTEES OF THE U.A. LOCAL NO. 393 DEFINED BENEFIT PENSIONCA · 946359772-002 | NORTHWEST PLAN SERVICES, INC. | $1.0B |
LATHROP GPM LLPMO · 430948710-002 | MARINER LLC | $349M |
THE CLUB MANAGEMENT ASSOCIATION OF AMERICAVA · 530235732-003 | DCS RETIREMENT GROUP, INC. | $263M |
W.R. MEADOWS, INC.IL · 361460730-001 | AMERICAN FUNDS | $42M |
HONOR TECHNOLOGY, INC.CA · 471943214-001 | PENSIONMARK FINANCIAL GROUP LLC | $38M |
FIRST NORTHERN BANK OF DIXONCA · 940475380-001 | PENSIONMARK FINANCIAL GROUP LLC | $37M |
STEELE SOLUTIONS, INC.WI · 812440527-001 | BAIRD INSURANCE SERVICES INC | $30M |
DIGESTIVE CARE OF EVANSVILLE, PCIN · 351627319-001 | CHARLES SCHWAB & CO., INC. | $29M |
PLAN COMPLIANCE SERVICES, INC.FL · 593708427-033 | CLEAR INVESTMENT RESEARCH, LLC | $28M |
APACHE INDUSTRIAL SERVICES, INCTX · 270626868-001 | VOYA RETIREMENT INSURANCE & ANNUITY | $28M |
Plans lost in 2024
Appeared last year under NORTHWESTERN MUTUAL INVESTMENT SERV; not this year.
| Sponsor | To | Assets |
|---|---|---|
KING & SPALDING LLPGA · 580520153-001 | FIDUCIENT ADVISORS LLC | $1.1B |
SHARP REES-STEALY MEDICAL GROUP, INC.CA · 330106028-001 | NWPS | $265M |
STOUT RISIUS ROSS, LLCMI · 383003685-001 | UBS FINANCIAL SERVICES INC | $167M |
MOSS & BARNETT, A PROFESSIONAL ASSOCIATIONMN · 410943845-001 | WAYPOINT CAPITAL ADVISORS LLC | $134M |
IN-Q-TEL, INC.VA · 522149962-001 | FIDELITY INVESTMENTS INSTITUTIONAL | $66M |
COLUMBIA ORTHOPAEDIC GROUP LLPMO · 431427548-001 | EDWARD JONES | $45M |
SPARQ HOLDINGS, INC.GA · 201612379-001 | JOHN HANCOCK LIFE INSURANCE COMPANY | $41M |
MGT OF AMERICA CONSULTING, LLCFL · 810890071-001 | GREAT-WEST LIFE & ANNUITY INSURANCE | $38M |
ARTHRITIS & RHEUMATISM ASSOCIATES, P.C.MD · 521072944-001 | NWPS | $36M |
ALLIANCE SOURCE TESTING, LLCAL · 271569242-001 | FIDELITY INVESTMENTS INSTITUTIONAL | $30M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
BOARD OF TRUSTEES OF THE U.A. LOCAL NO. 393 DEFINED BENEFIT PENSIONCA · 946359772-002 | $1.0B | 3,823 | $143,745 | 1y | - |
TAFT STETTINIUS & HOLLISTER LLPOH · 310541755-004 | $849M | 1,854 | $8,748 | 7y | 1 |
SAIA MOTOR FREIGHT LINE, LLCGA · 720524060-001 | $670M | 16,292 | $80,000 | 9y | 1 |
PRINCIPAL LIFE INSURANCE COMPANYIA · 420127290-334 | $651M | 163,954 | $70,759 | 3y | 2 |
US RADIOLOGY SPECIALISTS, INC.NC · 823626023-001 | $571M | 5,506 | $8,594 | 3y | 2 |
THOMPSON COBURN LLPMO · 430666662-002 | $484M | 1,050 | $11,730 | 4y | - |
LATHROP GPM LLPMO · 430948710-002 | $349M | 898 | $15,489 | 1y | - |
THE IOWA CLINIC, P.C.IA · 421420077-001 | $329M | 1,817 | $67,589 | 10y | - |
GUNDERSON DETTMER STOUGH VILLENEUVE FRANKLIN & HACHIGIAN, LLPCA · 770409988-001 | $264M | 960 | $172,024 | 10y | 1 |
THE CLUB MANAGEMENT ASSOCIATION OF AMERICAVA · 530235732-003 | $263M | 8,662 | $4,921 | 1y | 1 |
Flag exposure
81.1%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (146)
Raw Schedule C names collapsed into NORTHWESTERN MUTUAL INVESTMENT SERV.
- ED MCGILL-NORTHWESTERN MUTUAL
- KIRBY WEALTH MGMNT GROUP/NW MUTUAL
- MUTUAL WEALTH RETIREMENT SERVICES
- NML FINANCIAL SERVICES, LLC
- NML INVESTORS
- NML INVESTORS SERVICES ICN
- NML INVESTORS SERVICES INC
- NORHTWESTERN MUTUAL INVEST SERVICES
- NORHTWESTERN MUTUAL INVEST. SERVICE
- NORTHERWESTERN MUTUAL WEALTH MGT CO
- NORTHEWESTERN MUTUAL
- NORTHWESETERN MUTUAL WEALTH MGMT CO
- NORTHWEST MUTUAL
- NORTHWEST MUTUAL WEALTH MANAGEMENT
- NORTHWEST MUTUAL WEALTH MGMT
- NORTHWEST MUTUAL WEALTH MGMT CO
- NORTHWESTEN MUTUAL WEALTH MGMT CO
- NORTHWESTER MUTUAL
- NORTHWESTER MUTUAL INVESTMENTS SVCS
- NORTHWESTERM MUTUAL
- NORTHWESTERN INVESTMENT SERVICES LL
- NORTHWESTERN MUT INV SRV LLC
- NORTHWESTERN MUT INV SRVCS
- NORTHWESTERN MUT INV SVC
- NORTHWESTERN MUT WEALTH MGMNT CO
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for NORTHWESTERN MUTUAL INVESTMENT SERV's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 10 | 2.39% | 7.76% | -5.38 pp |
| Fidelity bond gap | 23 | 5.49% | 26.94% | -21.45 pp |
| Late contributions | 113 | 26.97% | 1.71% | +25.26 pp |
| Failed to provide benefit | 2 | 0.48% | 0.14% | +0.34 pp |
| Corrective distributions | 99 | 23.63% | 1.76% | +21.87 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with NORTHWESTERN MUTUAL INVESTMENT SERV. Compare to the incumbent market share (0.6%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.6 pp vs incumbent
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).