NORTHERN TRUST INVESTMENTS, INCORPORATED
Adviser information for NORTHERN TRUST INVESTMENTS, INCORPORATED last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 674 |
|---|---|
| Investment Advisory/Research | 208 |
| Registered Broker-Dealer Representatives | 121 |
| Registered State Investment Advisers | 31 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 41,105 | $1016.6B |
| Non-Discretionary | 0 | $0 |
| Total | 41,105 | $1016.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 22,383 | $8.4B |
| HNW Individuals | 12,197 | $69.3B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 88 | $244.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 310 | $440.6B |
| Pension and profit sharing plans | 426 | $85.6B |
| Charitable organizations | 1,574 | $25.1B |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 77 | $36.1B |
| Sovereign wealth funds and foreign official institutions | 57 | $24.0B |
| Corporations or other businesses | 3,993 | $83.2B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 65 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsMODEL PORTFOLIO PROVIDER, INVESTMENT RESEARCH,INDEX SERVICES, TRANSITION MANAGEMENT AND OVERLAY SERVICES |
|---|---|
| Compensation | % of AUMSubscription feesFixed feesPerformance-based feesTRANSITION MANAGEMENT SERVICE FEES |
| Other Business Activities | Commodity pool operator or commodity trading advisorBankTrust company |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Principal Office
50 S LASALLE STREETCHICAGO
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 312-630-6000, Fax: None
Websites
www.capitalmarketassumptions.com
www.northerntrust.com
pointofview.northerntrust.com
www.twitter.com/ntinvest?lang=en
www.linkedin.com/company/northern-trust-asset-management/
www.flexshares.com
treasury-management.com/companies/northern-trust-asset-management/
www.youtube.com/northerntrustassetmanagement
ntam.northerntrust.com/
Chief Compliance Officer
MAYA G TEUFEL
CHIEF COMPLIANCE OFFICER
50 S LASALLE STREET
CHICAGO
IL
United States
Tel:
312-557-9686
M***@*******M
(Full email address available in API data)
Regulatory Contact
CRAIG CARBERRY
CHIEF LEGAL OFFICER AND SECRETARY
50 S LASALLE STREET
CHICAGO
IL
United States
Tel:
3125572996
C***@*******M
(Full email address available in API data)
Industry Affiliates
| 50 SOUTH CAPITAL ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NORTHERN TRUST | Banking or thrift institutionTrust company |
| NORTHERN TRUST ASSET MANAGEMENT AUSTRALIA PTY LTD | Other investment adviser, including financial planners |
| NORTHERN TRUST FUND MANAGERS (IRELAND) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHERN TRUST GLOBAL INVESTMENTS JAPAN, K.K. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORTHERN TRUST GLOBAL INVESTMENTS LTD | Other investment adviser, including financial planners |
| NORTHERN TRUST SECURITIES, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NORTHERN TRUST SECURITIES, LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NT GLOBAL ADVISORS, INC | Other investment adviser, including financial planners |
| THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MULTI-ADVISOR FUNDS CONCENTRATED HIGH YIELD AND LEVERAGED LOAN FUND MAF | MULTI ADVISOR FUND | $189.5M | $0.1M | 174 |
| MULTI-ADVISOR FUNDS COVERED CALL EQUITY INCOME FUND | MULTI ADVISER FUND | $199.9M | $0.1M | 214 |
| MULTI-ADVISOR FUNDS EMERGING MARKETS GROWTH FUND | MULTI ADVISER FUND | $66.7M | $0.1M | 115 |
| MULTI-ADVISOR FUNDS ENERGY INFRASTRUCTURE FUND - EAGLE GLOBAL ADVISORS, LLC | MULTI ADVISOR FUND | $49.4M | $0.1M | 36 |
| MULTI-ADVISOR FUNDS GLOBAL EMERGING MARKETS EQUITY FUND - AXIOM INVESTORS | MULTI ADVISOR FUND | $205.3M | $0.1M | 229 |
| MULTI-ADVISOR FUNDS GLOBAL EQUITY FUND-GENERATION INVESTMENT MANAGEMENT US LLP | Hedge Fund | $499.6M | $0.1M | 251 |
| MULTI-ADVISOR FUNDS GLOBAL SUSTAINABLE INFRASTRUCTURE FUND | MULTI ADVISER FUND | $55.7M | $0.1M | 14 |
| MULTI-ADVISOR FUNDS INTERNATIONAL EQUITY VALUE FUND | MULTI ADVISOR FUND | $56.2M | $0.1M | 29 |
| MULTI-ADVISOR FUNDS-GLOBAL EMERGING MARKETS FUND | MULTI ADVISOR FUND | $125.8M | $0.1M | 85 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE NORTHERN TRUST COMPANY | Domestic Entity | – | SHAREHOLDER | 11/2000 | > 75% |
| NORTHERN TRUST CORPORATION | Domestic Entity | THE NORTHERN TRUST COMPANY | SHAREHOLDER | 11/2000 | > 75% |
| CARBERRY, CRAIG, RICHARD | Individual | – | CHIEF LEGAL OFFICER/SECRETARY | 09/2000 | < 5% |
| ABUNASSAR, JOHN, GABRIEL | Individual | – | EXECUTIVE VICE PRESIDENT/DIRECTOR | 02/2018 | < 5% |
| HAWKINS, SHERI, BARKER | Individual | – | EXECUTIVE VICE PRESIDENT/DIRECTOR | 12/2017 | < 5% |
| WOJNAR, DARIUSZ | Individual | – | EXECUTIVE VICE PRESIDENT/DIRECTOR | 03/2018 | < 5% |
| TEUFEL, MAYA, GEORGIEVA | Individual | – | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 07/2019 | < 5% |
| Kumar, Archana | Individual | – | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/DIRECTOR | 04/2020 | < 5% |
| MANIOUDAKIS, ANGELO, GEORGE | Individual | – | EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER/DIRECTOR | 09/2021 | < 5% |
| Carroll, Stephen, Elliott | Individual | – | SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER | 12/2022 | < 5% |
| JOSHI, KAUSHAL, HARSHAD | Individual | – | SENIOR VICE PRESIDENT/CHIEF INFORMATION OFFICER | 03/2023 | < 5% |
| GAMBA, DANIEL, ERNESTO | Individual | – | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 04/2023 | < 5% |
| BROMWELL, MAUREEN, MEGAN | Individual | – | EXECUTIVE VICE PRESIDENT/CHIEF MARKETING OFFICER/DIRECTOR | 09/2023 | < 5% |
| MCINERNEY, JOSEPH, WALLACE | Individual | – | SENIOR VICE PRESIDENT/CHIEF RISK OFFICER | 10/2020 | < 5% |
| Kar, Paulami | Individual | – | SENIOR VICE PRESIDENT/DIRECTOR | 09/2023 | < 5% |