Northern Trust Investments, Incorporated

Registered investment adviser · Chicago, IL · CRD #105780

Form ADV data as of 2026-09-01

Regulatory assets

$1.25 trillion

Total accounts

41,027

Employees

662

Disclosure events

Firm details

Website: https://www.linkedin.com/company/northern-trust-asset-management/
Telephone: 312-630-6000
SEC file number: 801-33358
Most recent Form ADV filing: 2026-06-15
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 5 disclosure questions answered Yes, covering 11 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.25 trillion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$1.25 trillion
Discretionary accounts	41,027
Non-discretionary accounts	0
Total accounts	41,027
Regulatory assets under management attributable to non-U.S. persons	$22.64 billion

People

Total employees (excluding clerical)	662
Employees performing investment advisory functions (including research)	219
Employees who are registered representatives of a broker-dealer	124
Employees registered as investment adviser representatives with a state	35
Employees registered as IARs for another investment adviser	2
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$1.07 trillion
Clients for whom the firm has custody	40,588
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$1.07 trillion
Clients for whom a related person has custody	40,588
The firm acts as a qualified custodian	Yes
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	38

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Performance-based feesOther

Advisory services offered

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 newslettersOther

Other business activities

Commodity pool operator or commodity trading advisorBank (including a separately identifiable department or division)Trust company

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorBanking or thrift institutionTrust companySponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	20,223	$8.81 billion
High net worth individuals	15,055	$94.55 billion
Investment companies	104	$294.53 billion
Pooled investment vehicles (other than investment companies and BDCs)	237	$509.36 billion
Pension and profit sharing plans (not the participants or government plans)	330	$110.58 billion
Charitable organizations	1,347	$38.86 billion
Insurance companies	75	$46.34 billion
Sovereign wealth funds and foreign official institutions	29	$30.32 billion
Corporations or other businesses not listed above	3,627	$111.90 billion