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 operates as an advisory company headquartered in Chicago, Illinois. The firm oversees $806.6 billion in assets across 35,793 client accounts, placing it among the biggest investment advisory firms in the nation by assets under management (AUM). It has a large group of 573 employees, one hundred fifty-five of whom are financial advisors. Northern Trust Investments, Inc does not act as a registered broker-dealer, signifying that the firm cannot buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are defined as exchangable financial investments like equities, bonds and options.

    Northern Trust Investments, Inc manages all of the company's client assets in a discretionary manner. Discretionary management signifies that an investment advisor makes buy and sell judgments for the client's account without needing to seek client authorization. Northern Trust Investments, Inc's average account size is $22.5 million. The average financial advisor at Northern Trust Investments, Inc administers about 231 client accounts.

    The firm's headquarters is located at 50 S Lasalle Street, Chicago, Illinois 60603-1008. The firm is legally permitted to provide services to clients throughout 52 U.S. states and territories.

    Number of Advisors

    155

    Disclosures

    No

    Office Location

    50 S Lasalle Street
    Chicago, IL 60603-1008

    Northern Trust Investments, Inc by the Numbers

    Total Number of Employees

    573

    National Average: 4,943
    Total Number of Accounts

    35,793

    National Average: 2,522
    Average Account Size

    $22.5 million

    National Average: $1.3 million

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    Products and Services

    Northern Trust Investments, Inc provides a number of services, including 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 and other services. Northern Trust Investments, Inc does sell products or offer services different than investment advisory services to its clients. The firm is affiliated with a number of other service providers in the financial services industry, including with a broker-dealer or securities dealer, banking or thrift institution, trust company and commodity pool advisor.

    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 63% 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 23% 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 4% of firms

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

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

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    Fee Structure

    Financial management fees largely are based on the type of financial services provided. Fee types charged by Northern Trust Investments, Inc most likely include 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 the company.

    Available

    • Offered by 75% 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 17% 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 40% 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 12% 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 37% 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 3% 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.

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

      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.

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    Types of Clients

    Northern Trust Investments, Inc manages money for a number of different investors. Northern Trust Investments, Inc caters to retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, insurance companies and corporations. Out of its 35,793 clients, Northern Trust Investments, Inc's biggest client type is high net worth investors, but it also serves 28,734 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers are non-U.S. persons.

    • High-Net-Worth Individuals* - 80.28%
    • Other Individuals - 11.67%
    • Corporations - 7.37%
    • Charitable Organizations - 0.68%

    * 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

    Ronald Francisco
    Tempe, AZ
    Michelle Stewart
    Tempe, AZ
    Desi Berry
    Tempe, AZ
    Sierra Jones
    Tempe, AZ
    Terry Weissberg
    West Palm Beach, FL
    James Thompson
    Tempe, AZ
    Erik Spano
    Tempe, AZ
    Douglas Brown
    Tempe, AZ

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    This content was compiled from the SEC and FINRA