Firms by custodian
Registered investment advisers that custody at Northern Trust Securities
12 SEC-registered advisers report Northern Trust Securities as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
12 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| ConningCRD 107423 | Hartford, CT | $106.90B | 240 | 161 |
| Barrow, Hanley, Mewhinney & StraussCRD 105519 | Dallas, TX | $59.04B | 43 | 154 |
| First Pacific AdvisorsCRD 141823 | El Segundo, CA | $32.00B | 21 | 42 |
| Diamond Hill Capital ManagementCRD 110638 | Columbus, OH | $29.38B | 42 | 3,192 |
| Sage Advisory ServicesCRD 106236 | Austin, TX | $28.43B | 37 | 14,363 |
| Fund Evaluation GroupCRD 121658 | Cincinnati, OH | $23.86B | 74 | 214 |
| Wasatch AdvisorsCRD 106081 | Salt Lake City, UT | $23.35B | 41 | 239 |
| Segall Bryant & HamillCRD 106505 | Chicago, IL | $22.64B | 51 | 5,743 |
| Post Advisory GroupCRD 108860 | Los Angeles, CA | $13.03B | 24 | 40 |
| Gateway Investment AdvisersCRD 146681 | Cincinnati, OH | $11.59B | 10 | 318 |
| Shepherd Kaplan KrochukCRD 127304 | Boston, MA | $10.88B | 15 | 213 |
| Shepherd KaplanCRD 128244 | Boston, MA | $10.16B | 24 | 0 |
ConningCRD 107423$106.90B
- Headquarters
- Hartford, CT
- Advisory staff
- 240
- Clients
- 161
Barrow, Hanley, Mewhinney & StraussCRD 105519$59.04B
- Headquarters
- Dallas, TX
- Advisory staff
- 43
- Clients
- 154
First Pacific AdvisorsCRD 141823$32.00B
- Headquarters
- El Segundo, CA
- Advisory staff
- 21
- Clients
- 42
Diamond Hill Capital ManagementCRD 110638$29.38B
- Headquarters
- Columbus, OH
- Advisory staff
- 42
- Clients
- 3,192
Sage Advisory ServicesCRD 106236$28.43B
- Headquarters
- Austin, TX
- Advisory staff
- 37
- Clients
- 14,363
Fund Evaluation GroupCRD 121658$23.86B
- Headquarters
- Cincinnati, OH
- Advisory staff
- 74
- Clients
- 214
Wasatch AdvisorsCRD 106081$23.35B
- Headquarters
- Salt Lake City, UT
- Advisory staff
- 41
- Clients
- 239
Segall Bryant & HamillCRD 106505$22.64B
- Headquarters
- Chicago, IL
- Advisory staff
- 51
- Clients
- 5,743
Post Advisory GroupCRD 108860$13.03B
- Headquarters
- Los Angeles, CA
- Advisory staff
- 24
- Clients
- 40
Gateway Investment AdvisersCRD 146681$11.59B
- Headquarters
- Cincinnati, OH
- Advisory staff
- 10
- Clients
- 318
Shepherd Kaplan KrochukCRD 127304$10.88B
- Headquarters
- Boston, MA
- Advisory staff
- 15
- Clients
- 213
Shepherd KaplanCRD 128244$10.16B
- Headquarters
- Boston, MA
- Advisory staff
- 24
- Clients
- 0
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming Northern Trust Securities here says only what the filing says, and implies nothing about either firm's service.