Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
34 advisors
Number of Clients
41,475 clients
Average Client Portfolio
$26.9M average
Assets Under Management
$1114.8B

Fee Structure

Financial Planning:Investment management only

NTI's fees are generally negotiable and can be based on assets under management/advisement, fixed, or performance-based. The brochure lists fee ranges for various services, such as up to 1.00% for third-party strategies in separately managed accounts, up to 0.65% for quantitative equity, and up to 0.30% for passive equity. Fees are invoiced quarterly, monthly, or as stated in the client's agreement. Investment advisory services may include holdings in proprietary and non-proprietary investment pools, which have their own fees and expenses in addition to NTI’s investment advisory fee.

Areas of Practice
Investment Management
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Advisor Information

Office location

50 S Lasalle Street, Chicago, IL, 60603-1008

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Northern Trust Investments, Incorporated
May 2020 - Present · 5 yrs 8 mos
Northern Trust Securities, INC.
April 2020 - Present · 5 yrs 9 mos
Northern Trust Securities, INC. Broker
April 2020 - Present · 5 yrs 9 mos
Previous Registrations
Wells Fargo Funds Distributor, LLCBroker
January 2010 - January 2020 · 10 yrs
Wells Fargo Funds Management, LLC
January 2010 - February 2019 · 9 yrs 1 mo
Evergreen Investment Management CO
September 2009 - January 2010 · 4 mos
Evergreen Investment Services, INC.Broker
January 2007 - January 2010 · 3 yrs
Clearbridge Advisors, LLC
December 2005 - January 2007 · 1 yr 1 mo
Legg Mason Investor Services, LLCBroker
December 2005 - January 2007 · 1 yr 1 mo
Citigroup Global Markets INC.
October 2003 - December 2005 · 2 yrs 2 mos
Citigroup Global Markets INC. Broker
October 2003 - December 2005 · 2 yrs 2 mos
Ing Funds Distributor, LLCBroker
January 2003 - June 2003 · 5 mos
Phoenix Equity Planning CorporationBroker
September 2000 - December 2002 · 2 yrs 3 mos
Fam Distributors, INC.Broker
February 2000 - September 2000 · 7 mos
Pioneer Funds Distributor, INC.Broker
February 1999 - February 2000 · 1 yr
New England Funds, L.P.Broker
June 1996 - February 1999 · 2 yrs 8 mos
Van Kampen American Capital Distributors, INC.Broker
December 1993 - June 1996 · 2 yrs 6 mos
American Funds Distributors, INC. Broker
January 1993 - November 1993 · 10 mos
Anchor National Financial Services, INC.Broker
May 1991 - August 1991 · 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.