NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC
CRD #127218 SEC #801-62116 LOS ANGELES, CA 310-228-4800
SEC Registered
Total AUM
--
Discretionary
--
Employees
--
Clients
--
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AMBOIAN, JOHN, PETER | I | VICE CHAIRMAN | NA | Control |
| AMBOIAN, JOHN, PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AMBOIAN, JOHN, PETER | I | VICE CHAIRMAN | NA | Control |
| AMBOIAN, JOHN, PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AMBOIAN, JOHN, PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AMBOIAN, JOHN, PETER | I | VICE CHAIRMAN | NA | Control |
| AMBOIAN, JOHN, PETER | I | VICE CHAIRMAN | NA | Control |
| AMBOIAN, JOHN, PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| AMBOIAN, JOHN, PETER | I | VICE CHAIRMAN | NA | Control |
| ANSON, MARK, JONATHON | I | PRESIDENT | NA | Control |
| BERKSHIRE, ALAN, GLENN | I | PRESIDENT | NA | |
| BERKSHIRE, ALAN, GLENN | I | SR. V.P., SECRETARY & GENERAL COUNSEL | NA | |
| BERKSHIRE, ALAN, GLENN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| BERKSHIRE, ALAN, GLENN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | Control |
| BERKSHIRE, ALAN, GLENN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | |
| BERKSHIRE, ALAN, GLENN | I | SENIOR EXECUTIVE VICE PRESIDENT | NA | |
| BERKSHIRE, ALAN, GLENN | I | SR. V.P., SECRETARY & GENERAL COUNSEL | NA | |
| COHEN, STUART, JONA | I | V.P., ASST. SECRETARY & ASST. GENERAL COUNSEL | NA | |
| COHEN, STUART, JONA | I | V.P., ASST. SECRETARY & ASST. GENERAL COUNSEL | NA | |
| COHEN, STUART, JONA | I | V.P., ASST. SECRETARY & ASST. GENERAL COUNSEL | NA | |
| COHEN, STUART, JONA | I | V.P., ASST. SECRETARY & ASST. GENERAL COUNSEL | NA | |
| COHEN, STUART, JONA | I | V.P., ASST. SECRETARY & ASST. GENERAL COUNSEL | NA | |
| CROSSLEY, LISA, DIANE | I | VICE PRESIDENT | NA | |
| DARRIGO, PETER, H | I | VICE PRESIDENT & TREASURER | NA | |
| DARRIGO, PETER, H | I | VICE PRESIDENT & TREASURER | NA | |
| DARRIGO, PETER, H | I | VICE PRESIDENT & TREASURER | NA | |
| DRAPER, SCOTT, A | I | MANAGING DIRECTOR | NA | Control |
| GOSHTIGIAN, PATRICK, GABRIEL | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| GOSHTIGIAN, PATRICK, GABRIEL | I | VICE PRESIDENT | NA | |
| GOSHTIGIAN, PATRICK, GABRIEL | I | VICE PRESIDENT | NA | |
| GOSHTIGIAN, PATRICK, GABRIEL | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| GOSHTIGIAN, PATRICK, GABRIEL | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| KATERNDAHL, CARL, MICHAEL | I | EXECUTIVE VICE PRESIDENT, CO-HEAD OF DISTRIBUTION | NA | Control |
| KEEFE, MARY, E | I | MANAGING DIRECTOR AND DIRECTOR OF COMPLIANCE | NA | |
| KEEFE, MARY, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEEFE, MARY, ELIZABETH | I | MANAGING DIRECTOR & VICE PRESIDENT | NA | |
| KEEFE, MARY, ELIZABETH | I | MANAGING DIRECTOR & VICE PRESIDENT | NA | |
| KEEFE, MARY, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | |
| KEEFE, MARY, ELIZABETH | I | CHIEF COMPLIANCE OFFICER | NA | |
| MACCARTHY, JOHN, L | I | SENIOR VICE PRESIDENT & SECRETARY | NA | |
| MACCARTHY, JOHN, L | I | EXECUTIVE VICE PRESIDENT & SECRETARY | NA | |
| MACCARTHY, JOHN, L | I | SENIOR VICE PRESIDENT & SECRETARY | NA | |
| MACCARTHY, JOHN, L | I | SENIOR VICE PRESIDENT & SECRETARY | NA | |
| MACCARTHY, JOHN, L | I | SENIOR VICE PRESIDENT & SECRETARY | NA | |
| MACCARTHY, JOHN, L | I | SENIOR VICE PRESIDENT & SECRETARY | NA | |
| MACCARTHY, JOHN, L | I | EXECUTIVE VICE PRESIDENT & SECRETARY | NA | |
| MENDEZ, MICHAEL, CASARES | I | PRESIDENT AND CEO | NA | Control |
| MENDEZ, MICHAEL, CASARES | I | PRESIDENT AND CEO | NA | Control |
| RICHTER, GLENN, ROBERT | I | EXECUTIVE VICE PRESIDENT | NA | |
| RICHTER, GLENN, ROBERT | I | EXECUTIVE VICE PRESIDENT | NA | |
| RICHTER, GLENN, ROBERT | I | EXECUTIVE VICE PRESIDENT | NA | |
| RICHTER, GLENN, ROBERT | I | EXECUTIVE VICE PRESIDENT | NA | |
| RICHTER, GLENN, ROBERT | I | EXECUTIVE VICE PRESIDENT | NA | |
| RICHTER, GLENN, ROBERT | I | EXECUTIVE VICE PRESIDENT | NA | |
| RICHTER, GLENN, ROBERT | I | EXECUTIVE VICE PRESIDENT | NA | |
| SCHWERTFEGER, TIMOTHY, RAYMOND | I | CHAIRMAN | NA | Control |
| SCHWERTFEGER, TIMOTHY, RAYMOND | I | CHAIRMAN | NA | Control |
| SCHWERTFEGER, TIMOTHY, RAYMOND | I | CHAIRMAN | NA | Control |
| SCHWERTFEGER, TIMOTHY, RAYMOND | I | CHAIRMAN | NA | Control |
| SCHWERTFEGER, TIMOTHY, RAYMOND | I | CHAIRMAN | NA | Control |
| TICHENOR, SANDRA, PELLE | I | MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| TICHENOR, SANDRA, PELLE | I | SR. VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| TICHENOR, SANDRA, PELLE | I | SR. VICE PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| TICHENOR, SANDRA, PELLE | I | MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | NA | |
| WILSON, MARGARET, EILEEN | I | SR. V.P. AND CONTROLLER | NA | |
| WILSON, MARGARET, EILEEN | I | SR. V.P. AND CONTROLLER | NA | |
| NUVEEN INVESTMENTS, INC. | DE | STOCKHOLDER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | MANAGING MEMBER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | STOCKHOLDER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | STOCKHOLDER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | STOCKHOLDER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | STOCKHOLDER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | STOCKHOLDER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | MANAGING MEMBER | E | Control |
| NUVEEN INVESTMENTS, INC. | DE | STOCKHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| MADISON DEARBORN PARTNERS V-A&C, L.P. | DE | MADISON DEARBORN CAPITAL PARTNERS V-A, L.P. | F | Control |
| MADISON DEARBORN PARTNERS V-A&C, L.P. | DE | MADISON DEARBORN CAPITAL PARTNERS V-A, L.P. | F | Control |
| MADISON DEARBORN PARTNERS V-A&C, L.P. | DE | MADISON DEARBORN CAPITAL PARTNERS V-A, L.P. | F | Control |
| MERRILL LYNCH GP INC. | DE | MLGPE PARTNERS II, LP | F | |
| MERRILL LYNCH GP INC. | DE | MLGPE PARTNERS II, LP | F | |
| MLGPE PARTNERS II, LP | FE | MLPGE FUND US II, LP | F | |
| MLGPE PARTNERS II, LP | FE | MLPGE FUND US II, LP | F | |
| MLGPE PARTNERS II, LP | FE | MLPGE FUND US II, LP | F | |
| BANK OF AMERICA CORPORATION | DE | MERRILL LYNCH & CO. INC. | E | Control |
| MADISON DEARBORN CAPITAL PARTNERS V-A, L.P. | DE | MDCP HOLDCO (WINDY), LLC | E | Control |
| MADISON DEARBORN CAPITAL PARTNERS V-A, L.P. | DE | MDCP HOLDCO (WINDY), LLC | E | Control |
| MADISON DEARBORN CAPITAL PARTNERS V-A, L.P. | DE | MDCP HOLDCO (WINDY), LLC | E | Control |
| MERRILL LYNCH & CO., INC. | DE | MERRILL LYNCH GROUP, INC. | E | |
| MERRILL LYNCH & CO., INC. | DE | MERRILL LYNCH GROUP, INC. | E | |
| MERRILL LYNCH & CO., INC. | DE | MERRILL LYNCH GROUP, INC. | E | |
| MERRILL LYNCH GROUP, INC. | DE | MERRILL LYNCH GP INC. & ML IBK POSITIONS, INC. | E | |
| MERRILL LYNCH GROUP, INC. | DE | ML IBK POSITIONS, INC. | E | |
| MERRILL LYNCH GROUP, INC. | DE | MERRILL LYNCH GP INC. & ML IBK POSITIONS, INC. | E | |
| ML IBK POSITIONS, INC. | DE | MLGPE FUND US II, LP | E | |
| ML IBK POSITIONS, INC. | DE | MLGPE FUND US II, LP | E | |
| ML IBK POSITIONS, INC. | DE | MLGPE FUND US II, LP | E | |
| ML WINDY CITY INVESTMENTS HOLDINGS LLC | DE | WINDY CITY INVESTMENTS HOLDINGS, LLC | E | |
| MLGPE FUND US II, LP | DE | MLGPE U.S. STRATEGIES LLC | E | |
| MLGPE FUND US II, LP | DE | MLGPE U.S. STRATEGIES LLC | E | |
| MLGPE FUND US II, LP | DE | MLGPE U.S. STRATEGIES LLC | E | |
| MLGPE U.S. STRATEGIES LLC | DE | ML WINDY CITY INVESTMENTS HOLDINGS LLC | E | |
| MLGPE U.S. STRATEGIES LLC | DE | ML WINDY CITY INVESTMENTS HOLDINGS LLC | E | |
| THE ST. PAUL COMPANIES, INC. | DE | NUVEEN INVESTMENTS, INC. | E | Control |
| THE ST. PAUL TRAVELERS COMPANIES, INC. | DE | NUVEEN INVESTMENTS, INC. | E | Control |
| WINDY CITY INVESTMENTS HOLDINGS, L.L.C. | DE | WINDY CITY INVESTMENTS, INC. | E | Control |
| WINDY CITY INVESTMENTS HOLDINGS, L.L.C. | DE | WINDY CITY INVESTMENTS, INC. | E | Control |
| WINDY CITY INVESTMENTS HOLDINGS, L.L.C. | DE | WINDY CITY INVESTMENTS, INC. | E | Control |
| WINDY CITY INVESTMENTS, INC. | DE | NUVEEN INVESTMENTS, INC. | E | Control |
| WINDY CITY INVESTMENTS, INC. | DE | NUVEEN INVESTMENTS, INC. | E | Control |
| WINDY CITY INVESTMENTS, INC. | DE | NUVEEN INVESTMENTS, INC. | E | Control |
| MDCP HOLDCO (WINDY), LLC | DE | WINDY CITY INVESTMENTS HOLDINGS, L.L.C. | C | Control |
| MDCP HOLDCO (WINDY), LLC | DE | WINDY CITY INVESTMENTS HOLDINGS, L.L.C. | C | Control |
| MDCP HOLDCO (WINDY), LLC | DE | WINDY CITY INVESTMENTS HOLDINGS, L.L.C. | C | Control |
| ML WINDY CITY INVESTMENTS HOLDINGS LLC | DE | WINDY CITY INVESTMENTS HOLDINGS, LLC | C | |
| MLGPE U.S. STRATEGIES LLC | DE | WINDY CITY INVESTMENTS HOLDINGS, L.L.C. | C |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (51)
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Address
2049 CENTURY PARK EAST 18TH FLOORLOS ANGELES, CA 90067
United States
Phone: 310-228-4800