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
Loading...

Advisor Information

Office location

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

Get directions
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.

Learn about disclosures →
Employment History
Current Registrations
Northern Trust Investments, Incorporated
April 2016 - Present · 9 yrs 9 mos
Northern Trust Securities, INC.
January 2016 - Present · 10 yrs
Northern Trust Securities, INC. Broker
January 2016 - Present · 10 yrs
Previous Registrations
Race Rock Capital LLCBroker
January 2016 - January 2016 · 0 mos
Foreside Fund Services, LLCBroker
June 2011 - March 2013 · 1 yr 9 mos
Fidelity Investments Institutional Services Company, INC.
July 2004 - January 2008 · 3 yrs 6 mos
Fidelity Investments Institutional Services Company, INC.Broker
May 2004 - May 2011 · 7 yrs
American Express Financial Advisors, INC.
November 2003 - March 2004 · 4 mos
American Express Financial Advisors INC. Broker
October 2003 - March 2004 · 5 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.