9AT: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 12/10/1971
ADV Location	MILWAUKEE, WI, United States
Contact Info	866 xxxxxxx
Websites

AUM^*	0
of that, discretionary
Number of Employees	2,294 -11%
of those in investment advisory functions	15 100%
Private Fund GAV^*	0
SMA’s	No
Private Funds	0

Adviser Type

- Related adviser

Client Types

Advisory Activities

Compensation Arrangments

- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser SUMMIT CAPITAL SOLUTIONS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser CT FINANCIAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser HINDUJA-LYNX INVESTMENT ADVISORY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser KOBO RETIREMENT STRATEGIES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser CLERKIE ADVISORY LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser MMA SECURITIES LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser PLOOTUS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser COMGEST US LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser BOFA SECURITIES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-
Adviser VAULT CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM-	#Funds-

Brochure Summary

Overview

Northwestern Mutual Investment Services, LLC (“NMIS”) is a dually registered broker-dealer and investment adviser, and a wholly owned subsidiary of The Northwestern Mutual Life Insurance Company (“NM”). “Northwestern Mutual” is the marketing name for NM and its subsidiaries and affiliates. NMIS was formed and has been in business since 1968. Referral Services Program NMIS provides referral services by screening, selecting, and entering into arrangements with certain other investment advisers (the “Sponsors”) which provide either financial planning services, mutual fund asset allocation programs or other investment management services (the “Programs”). Under its referral programs NMIS's primary role is to refer its insurance or securities brokerage clients to Sponsors, and in that role will functions as a “solicitor” within the meaning of Rule 206(4)-3 under the Investment Advisers Act of 1940. NMIS does not provide continuous and regular supervisory or management services to accounts established with Sponsors. Rather, its referral services are limited. NMIS does not charge its referral clients for the services described

above. NMIS is compensated for the services by the Sponsor through payment of a referral fee. Fixed Income Advice from NMIS Investment Trading Services NMIS employee representatives (“Trading Services Representatives”) located in the NMIS Investment Trading Services (“NMIS Trading Services”) in NMIS’s home office of Milwaukee, Wisconsin provide non- discretionary investment advice to other investment advisers regarding purchasing and selling of fixed income investments such as corporate and municipal bonds. This advice may include assistance with structuring bond ladders or managing duration of fixed-income positions. The Trading Services Representatives have no discretionary trading authority in accounts where they assist investment advisors with fixed-income securities advice. Trading Services Representatives are employees and registered representatives of NMIS. Trading Services Representatives are compensated with a salary and company bonus plan related to broad-based company goals. Trading Services Representatives’ compensation is not related to account values, fees or commissions of the accounts they service.

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

NML EQUITY SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

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Brochure Summary

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NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC NML EQUITY SERVICES, INC. NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

NML EQUITY SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.