SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Northern Trust Investments, Incorporated
Chicago, IL
CRD 105780
Firm filing updated June 15, 2026 ·
- $1245.2BAssets
- 41,027Clients
- 219Advisory staff
- 41,027Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- OtherYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
Who the firm serves
- Individuals20,223
- High net worth individuals15,055
- Corporations or other businesses3,627
- Charities1,347
- Pension and profit sharing plans330
- and 4 more445
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 20,223 | $8.8 billion |
| High net worth individuals | 15,055 | $94.5 billion |
| Investment companies | 104 | $294.5 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 237 | $509.4 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 330 | $110.6 billion |
| Charitable organizations | 1,347 | $38.9 billion |
| Insurance companies | 75 | $46.3 billion |
| Sovereign wealth funds and foreign official institutions | 29 | $30.3 billion |
| Corporations or other businesses not listed above | 3,627 | $111.9 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 7 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Other: "MODEL PORTFOLIO PROVIDER, INVESTMENT RESEARCH,INDEX SERVICES, TRANSITION MANAGEMENT AND OVERLAY SERVICES"
- 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 advisors (including private fund managers)
- Publication of periodicals or newsletters
- Other: "MODEL PORTFOLIO PROVIDER, INVESTMENT RESEARCH,INDEX SERVICES, TRANSITION MANAGEMENT AND OVERLAY SERVICES"
Assets and accounts
- Regulatory assets$1245.2 billion
- Accounts41,027
- DiscretionaryAll accounts
People
- Employees662
- Advisory staff219
- Broker-dealer reps124
- Licensed insurance agents0
Advisors
22 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 105780, SEC file 801-33358.
- Registered with the SEC as an investment advisor (status date on record: November 25, 1988).
Is Northern Trust Investments, Incorporated a fiduciary?
Short answer: Northern Trust Investments, Incorporated is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 124 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.