Investment Advisory Program Disclosure Brochures
Download an investment advisory program or fee-based planning disclosure brochure by clicking below:
We offer investment advisory programs and services to retail investors through our financial representatives who are qualified agents of Northwestern Mutual Wealth Management Company (NMWMC) and use "Advisor" in their title or otherwise disclose their status as an advisor of NMWMC. Through our investment advisory services:
- We act in a fiduciary capacity in providing you advice for your account.
- We provide ongoing monitoring of your account (other than financial planning). This is in contrast to NMIS brokerage services, which does not provide ongoing account monitoring.
- We act with full investment management discretion (other than financial planning).
- Advisory accounts have investment dollar amount minimums that range from $25,000 to $1,000,000 (other than financial planning) and we advise only on VAs issued by NM.