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
August 2018 - Present · 7 yrs 5 mos
Northern Trust Securities, INC.
October 2016 - Present · 9 yrs 3 mos
Northern Trust Securities, INC. Broker
October 2016 - Present · 9 yrs 3 mos
Previous Registrations
Guggenheim Investments
February 2014 - October 2016 · 2 yrs 8 mos
Guggenheim Funds Distributors, LLC Broker
November 2013 - October 2016 · 2 yrs 11 mos
Invesco Advisers, INC.
June 2013 - November 2013 · 5 mos
Invesco Distributors, INC.Broker
April 2013 - November 2013 · 7 mos
Franklin/templeton Distributors, INC.Broker
July 2009 - March 2013 · 3 yrs 8 mos
State Registrations53 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.