Tradewinds Nwq Global Investors, LLC (Los Angeles)

Tradewinds Nwq Global Investors, LLC is a large advisory firm based in Los Angeles. It manages $31.97 billion of regulatory assets for 75,029 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Tradewinds Nwq Global Investors provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tradewinds Nwq Global Investors: assets under management

The assets under management (AUM) of Tradewinds Nwq Global Investors, LLC is $31.97 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 68% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $31.97 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $426.09 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tradewinds Nwq Global Investors, 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.

Careers at Tradewinds Nwq Global Investors, LLC

Jane Katz Crist joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Casares Mendez	Chief executive officer	1 Dec 2005	Other	2273279
Gerald Willis Wheeler	Managing director & chief compliance officer	1 Dec 2005	Other	2510139
David Bernhard Iben	Chief investment officer & managing director	1 Jan 2006	Other	4571858
Nwq Holdings Llc	Managing member	1 Feb 2006	75% - 100%	02-0767175
Paul James Hechmer	Managing director, executive committee member, portfolio manager	1 Feb 2006	Other	2826791
Patrick Gabriel Goshtigian	Chief administrative officer	1 Mar 2006	Other	5124599
Mary Elizabeth Keefe	Chief compliance officer	1 Jun 2006	Other	4755249
Jane Katz Crist	Chief compliance officer	1 Jan 2007	Other	5286589

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Nuveen Investments Inc.	Managing member	1 Feb 2006	75% - 100%	363817266

Based in Los Angeles

The principal office where Tradewinds Nwq Global Investors, LLC performs its advisory services is located at 2049 Century Park East, Los Angeles, CA 90067 3120, which is also the mailing address of the firm. An additional office of the firm is in Scottsdale, AZ. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 310-552-8700 or by fax 310-712-4100. The normal business hours are 6:45 am to 4:15 pm on Monday - Friday.