TOWERS WATSON INVESTMENT SERVICES, INC.
Adviser information for TOWERS WATSON INVESTMENT SERVICES, INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 208 |
|---|---|
| Investment Advisory/Research | 201 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 28 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 119 | $46.5B |
| Non-Discretionary | 4 | $4.9B |
| Total | 123 | $51.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 89 | $51.1B |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $313.7M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 118 |
| No. of Non-U.S. Clients | 3 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersMarket timing servicesEducational seminars/workshopsSEE SCHEDULE D, MISCELLANEOUS, FOR A DESCRIPTION OF OTHER ADVISORY SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesFEE BASED ON A PERCENTAGE OF ASSETS ADVISED ON |
| Other Business Activities | Registered representative of a broker-dealerCommodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-46008 |
|---|---|
| SEC ERA File Number | 801-46008 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110473 |
| Legal Entity Identifier | None |
Principal Office
233 SOUTH WACKER DRIVESUITE 1800
CHICAGO
IL
United States
Monday - Friday, 8:30 A.M. TO 5:30PM
Tel: 312-288-7700, Fax: None
Chief Compliance Officer
DRAGAN LAZICH
CHIEF COMPLIANCE OFFICER
233 SOUTH WACKER DRIVE
SUITE 1800
CHICAGO
IL
United States
Tel:
828-412-7986
D************@********M
(Full email address available in API data)
Regulatory Contact
NIMISHA SRIVASTAVA
PRESIDENT
1120 SOUTH TRYON ST
SUITE 650
CHARLOTTE
NC
United States
Tel:
704-620-6480
N*****************@********M
(Full email address available in API data)
Industry Affiliates
| TOWERS WATSON INVESTMENT MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| TOWERS WATSON LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WESTPORT FINANCIAL SERVICES, L.L.C. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WILLIS TOWERS WATSON | Insurance company or agency |
| WILLIS TOWERS WATSON SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| WTW INVESTMENT MANAGEMENT CANADA LIMITED | Other investment adviser, including financial plannersFutures commission merchantPension consultantSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WILLIS TOWERS WATSON GROUP TRUST - DIVERSIFIED CREDIT FUND | POOLED INVESTMENT INTERESTS | $3,214.3M | $1.0M | 63 |
| WILLIS TOWERS WATSON GROUP TRUST - DIVERSIFIED EQUITY FUND | POOLED INVESTMENT INTERESTS | $3,933.8M | $1.0M | 39 |
| WILLIS TOWERS WATSON GROUP TRUST - GLOBAL EQUITY FOCUS FUND | POOLED INVESTMENT INTERESTS | $2,575.9M | $1.0M | 4 |
| WILLIS TOWERS WATSON GROUP TRUST - LONG CREDIT FUND | POOLED INVESTMENT INTERESTS | $1,500.5M | $1.0M | 31 |
| WILLIS TOWERS WATSON GROUP TRUST - REAL ASSETS FUND | POOLED INVESTMENT INTERESTS | $3,180.1M | $1.0M | 53 |
| WTW LIQUID DIVERSIFIERS FUND, LTD | Hedge Fund | $500.6M | $0.1M | 16 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WILLIS TOWERS WATSON US LLC | Domestic Entity | – | PARENT COMPANY | 01/1994 | > 75% |
| ROSS, KEMP, DOUGLAS | Individual | – | DIRECTOR | 12/2016 | < 5% |
| TOWERS WATSON DELAWARE HOLDINGS LLC | Domestic Entity | WILLIS TOWERS WATSON US LLC | PARENT COMPANY | 01/2000 | > 75% |
| WILLIS US HOLDING COMPANY, LLC | Domestic Entity | TOWERS WATSON DELAWARE HOLDINGS LLC | PARENT COMPANY | 01/2016 | > 75% |
| WILLIS NORTH AMERICA , INC | Domestic Entity | WILLIS US HOLDING COMPANY, LLC | PARENT COMPANY | 01/2016 | > 75% |
| WILLIS GROUP LIMITED | Foreign Entity | WILLIS NORTH AMERICA , INC | PARENT COMPANY | 01/2016 | > 75% |
| TRINITY ACQUISITION PLC | Foreign Entity | WILLIS GROUP LIMITED | PARENT COMPANY | 01/2016 | > 75% |
| WILLIS TOWERS WATSON UK HOLDINGS LIMITED | Foreign Entity | TRINITY ACQUISITION PLC | PARENT COMPANY | 01/2016 | > 75% |
| TA 1 LIMITED | Foreign Entity | WILLIS TOWERS WATSON UK HOLDINGS LIMITED | PARENT COMPANY | 01/2016 | > 75% |
| WILLIS INVESTMENT U.K. HOLDINGS LIMITED | Foreign Entity | TA 1 LIMITED | PARENT COMPANY | 01/2016 | > 75% |
| WILLIS NETHERLANDS HOLDINGS B.V. (NETHERLANDS) | Foreign Entity | WILLIS INVESTMENT U.K. HOLDINGS LIMITED | PARENT COMPANY | 01/2016 | > 75% |
| WILLIS TOWERS WATSON SUB HOLDINGS UNLIMITED COMPANY (IRELAND) | Foreign Entity | WILLIS NETHERLANDS HOLDINGS B.V. (NETHERLANDS) | PARENT COMPANY | 01/2016 | > 75% |
| WILLIS TOWERS WATSON PUBLIC LIMITED COMPANY | Foreign Entity | WILLIS TOWERS WATSON SUB HOLDINGS UNLIMITED COMPANY (IRELAND) | PARENT COMPANY | 01/2016 | > 75% |
| SRIVASTAVA, NIMISHA | Individual | – | DIRECTOR, PRESIDENT | 02/2022 | < 5% |
| REMIJAS, ANDREW, CHRISTOPHER | Individual | – | MONEY LAUNDERING RESPONSIBLE OFFICER | 08/2020 | < 5% |
| Malko, Kloi | Individual | – | CHIEF FINANCIAL OFFICER AND TREASURER | 08/2020 | < 5% |
| DAVIS, ADINA, C | Individual | – | SECRETARY | 04/2020 | < 5% |
| Pliner, Jonathan, Dale | Individual | – | DIRECTOR | 09/2022 | < 5% |
| LAZICH, DRAGAN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| Luke, Diya | Individual | – | DIRECTOR | 07/2023 | < 5% |