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 Securities, INC.
June 2024 - Present · 1 yr 7 mos
Northern Trust Investments, Incorporated
June 2024 - Present · 1 yr 7 mos
Northern Trust Securities, INC. Broker
June 2024 - Present · 1 yr 7 mos
Previous Registrations
Foreside Fund Services, LLCBroker
April 2022 - May 2024 · 2 yrs 1 mo
Hilton Capital Management, LLC
April 2022 - November 2024 · 2 yrs 7 mos
Blackrock Investment Management, LLC
September 2006 - March 2022 · 15 yrs 6 mos
Blackrock Investments, LLCBroker
September 2006 - March 2022 · 15 yrs 6 mos
Merrill Lynch Investment Managers LP
June 2002 - September 2006 · 4 yrs 3 mos
Fam Distributors, INC.Broker
March 2002 - September 2006 · 4 yrs 6 mos
Pioneer Funds Distributor, INC.Broker
September 1997 - November 2001 · 4 yrs 2 mos
Evergreen Investment Services, INC.Broker
January 1994 - April 1997 · 3 yrs 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.