{"url":"https://nivawealth.com/firms/northern-trust-investments-105780","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105780","regulatoryAum":1245248223540,"crd":"105780","secFileNumber":"801-33358","legalName":"Northern Trust Investments, Incorporated","displayName":"Northern Trust Investments","website":"https://www.northerntrust.com","linkedinUrl":"https://www.linkedin.com/company/northern-trust-asset-management/","founded":null,"organization":"Illinois other (specify)","fiscalYearEnd":"December","headquarters":{"street":"50 S Lasalle Street","city":"Chicago","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60603-1008"},"tradeNames":["Nti, Inc."],"registration":{"secApproved":"25 November 1988","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":662,"advisory":219,"brokerDealerReps":124,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":1245248223540,"discretionaryAccounts":41027,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":0,"nonUsClientsPct":2,"nonAumClients":36},"clientTypes":[{"label":"Individuals (other than HNW)","clients":20223,"regulatoryAum":8810144191},{"label":"High-net-worth individuals","clients":15055,"regulatoryAum":94545125671},{"label":"Investment companies","clients":104,"regulatoryAum":294532798980},{"label":"Pooled investment vehicles","clients":237,"regulatoryAum":509360651988},{"label":"Pension and profit-sharing plans","clients":330,"regulatoryAum":110575136788},{"label":"Charitable organizations","clients":1347,"regulatoryAum":38862786894},{"label":"Insurance companies","clients":75,"regulatoryAum":46341438822},{"label":"Sovereign wealth funds and foreign official institutions","clients":29,"regulatoryAum":30319498722},{"label":"Corporations and other businesses","clients":3627,"regulatoryAum":111900641484}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":308123762884}],"custodyNote":"Northern Trust Investments has custody of $1068.17B for 40,588 clients.","otherCustodians":[],"leadership":[{"name":"Michael Hunstad","title":"Chairmen/President/Chief Executive Officer/Director","crd":"8114905"},{"name":"Anwiti Bahuguna","title":"Executive Vice President/Co-Chief Investment Officer","crd":"5776487"},{"name":"Sheri Hawkins","title":"Executive Vice President/Director","crd":"6277480"},{"name":"Paulami Kar","title":"Executive Vice President/Director","crd":"7815331"},{"name":"Archana Kumar","title":"Executive Vice President/Chief Operating Officer/Director","crd":"6919463"},{"name":"Joseph McInerney","title":"Senior Vice President/Chief Risk Officer","crd":"5037147"},{"name":"Christian Roth","title":"Executive Vice President/Co-Chief Investment Officer","crd":"1744854"},{"name":"Maya Teufel","title":"Senior Vice President/Chief Compliance Officer","crd":"6296785"},{"name":"Sunitha Cherian Thomas","title":"Senior Vice President/Head of Wealth & Intermediary Client Group/Director","crd":"7881171"},{"name":"David Rudd","title":"Chief Financial Officer","crd":"5007218"},{"name":"Craig Richard Carberry","title":"Chief Legal Officer/Secretary","crd":"2075889"},{"name":"Daniel Roche","title":"Bu Chief Information Security Officer","crd":"3111835"}],"ownership":[{"label":"The Northern Trust Company","detail":"Shareholder in the 75% or more ownership band and a control person, since November 2000."},{"label":"Northern Trust Corporation","detail":"Indirect owner: a shareholder of The Northern Trust Company in the 75% or more band and a control person, since November 2000.","parent":"The Northern Trust Company"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":8,"privateResidences":0},"listedOfficeAddresses":6,"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"2160 E. Elliot Road","city":"Tempe"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"301 Tresser Boulevard","city":"Stamford"}]},{"state":"District of Columbia","offices":1,"addresses":[{"street":"800 Connecticut Avenue NW","city":"Washington"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"50 S Lasalle Street","city":"Chicago","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"390 Park Ave","city":"New York"}]},{"state":"Texas","offices":1,"addresses":[{"street":"5540 Preston Road","city":"Dallas"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-630-6000","stateRegisteredReps":35,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees","Other"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Publication of periodicals or newsletters","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":67},{"label":"U.S. government/agency bonds","percent":11},{"label":"U.S. state and local bonds","percent":7},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":7},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":9},"sources":{"adv1FilingDate":"15 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105780/PDF/105780.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Northern Trust Investments have?","answer":"Northern Trust Investments has 41,027 clients and manages $1245.2 billion for them, as of June 2026. They include 20,223 other individuals, 15,055 high-net-worth individuals and 3,627 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 15 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Northern Trust Investments offer?","answer":"Northern Trust Investments provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, publishing newsletters and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Northern Trust Investments use?","answer":"Northern Trust Investments’ separately managed account assets are held at The Northern Trust Company (Chicago, IL), with $308,123,762,884. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 15 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Northern Trust Investments have?","answer":"Northern Trust Investments has 35 investment adviser representatives registered with state securities authorities, out of 662 employees, and 219 perform investment advisory functions. 124 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Northern Trust Investments invest in?","answer":"At the end of its last fiscal year, Northern Trust Investments’ separately managed accounts held 67% exchange-traded equities, 11% U.S. government and agency bonds, 7% state and local bonds, 7% investment grade corporate bonds, 6% cash and equivalents, 1% sovereign bonds, 1% high-yield corporate bonds and 1% derivatives. It advises 9 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Northern Trust Investments?","answer":"Northern Trust Investments is owned through a trust by Northern Trust Corporation. Its direct owner is the Northern Trust Company (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 15 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Northern Trust Investments get paid?","answer":"Northern Trust Investments is paid through a percentage of assets under management, fixed fees, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}