Northern Trust Investments, Inc

CRD#105780
Investment Advisor Firm

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Learn more about Northern Trust Investments, Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Northern Trust Investments, Inc is located at 50 S Lasalle Street, Chicago, IL. The firm employs 208 financial advisors to manage client portfolios and provide financial guidance. Northern Trust Investments, Inc is not a registered broker-dealer.

    Northern Trust Investments, Inc oversees $1.0 trillion in assets under management across 41,105 accounts, all of which are discretionary. The services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, publication of newsletters, educational seminars, and other services. The firm caters to a diverse range of investors, including retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, insurance companies, sovereign wealth funds, and corporations, with retail investors being the largest client type by accounts. The fee structure at Northern Trust Investments, Inc includes asset-based, fixed, performance-based, and other fees. The firm has 12,197 high net worth clients and maintains affiliations with a broker-dealer or securities dealer, banking or thrift institution, trust company, and commodity pool advisor.

    Northern Trust Investments, Inc is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

    Assets Under Management

    $1.0 trillion

    Number of Advisors

    208

    Disclosures

    No

    Office Location

    50 S Lasalle Street
    Chicago, IL 60603-1008

    Northern Trust Investments, Inc by the Numbers

    Total Assets Under Management

    $1.0 trillion

    National Average: $8.6 billion
    Total Number of Employees

    674

    National Average: 64
    Total Number of Accounts

    41,105

    National Average: 375,227
    Average Account Size

    $24.7 million

    National Average: $23.0 thousand
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    Products and Services

    Northern Trust Investments, Inc offers a number of financial services, which can consist of portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, publication of newsletters, educational seminars, and other services. However, Northern Trust Investments, Inc did not provide financial planning services to any of its clients in the previous financial year. The Firm is involved in selling products or offering services other than investment advice to its customers.

    Core Advisor Services

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      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Offered by 3% of firms

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Offered by 6% of firms

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial management typically are based on the financial services offered. Fees billed by Northern Trust Investments, Inc most likely include some combination of the following fee types: asset-based, fixed, performance-based, or other. Wrap fee programs, or the practice of bundling services for a single fee, are provided by Northern Trust Investments, Inc.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 0% of firms

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

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    Types of Clients

    The firm works with a number of different investors. The firm provides services to retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, insurance companies, sovereign wealth funds, and corporations. Out of its 9 clients, Northern Trust Investments, Inc's biggest client type by number of accounts is pooled investment vehicles, though it also serves 12197 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 under management or a net worth of more than $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 29.67%
    • Other Individuals - 54.45%
    • Corporations - 12.04%
    • Charitable Organizations - 3.83%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Northern Trust Investments, Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Northern Trust Investments, Inc

    Sean Murphy
    Jersey City, NJ
    Elizabeth Longo
    Grand Rapids, MI
    Anthony Piatek
    Chicago, IL
    Michael Burdeen
    Chicago, IL
    Elizabeth Sfreddo
    Chicago, IL
    Lauren Metaj
    Chicago, IL
    Stephen Russell
    Chicago, IL
    Emily Meyer
    Chicago, IL
    Alexander Mchenry
    Chicago, IL

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