SEC-Registered Investment Adviser
Northern Trust Investments, Incorporated
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated June 15, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- November 25, 1988
- Principal office
- 50 S Lasalle Street, Chicago, IL 60603-1008
- Organized as
- Other (specify), IL
- Fiscal year end
- December
- Other offices
- 8
Scale
- Regulatory AUM
- $1245.2B
- Attributable to non-US clients
- $22.6B
- Accounts
- 41,027
- Clients
- 36
- Employees
- 662, 219 in advisory roles
- Private funds advised
- 9
- Private fund gross assets
- $1.7B
- Fund types
- 1 hedge funds, 8 other private funds
- Client assets in custody
- $1068.2B (40,588 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, publication of periodicals or newsletters and other advisory activities
- Compensated by
- a percentage of assets under management, fixed fees, performance-based fees and other
- Client types
- individuals (other than high net worth) (20,223); high net worth individuals (15,055); investment companies (104); pooled investment vehicles (237); pension and profit sharing plans (330); charitable organizations (1,347); insurance companies (75); sovereign wealth funds and foreign official institutions (29); corporations or other businesses (3,627)
- Also engaged as
- commodity pool operator or commodity trading advisor, bank and trust company
- Related persons include
- a broker-dealer, another investment adviser, a commodity pool operator or commodity trading advisor, a banking or thrift institution, a trust company and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 1 broker-dealer, 7 investment advisers
- Wrap fee program
- Sponsors or manages a wrap fee program
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5), 5 reported)
- other regulator finding of a violation (Item 11D(2), 3 reported)
- other regulator order, denial, suspension or revocation (Item 11D(4))
- self-regulatory organization finding of a violation (Item 11E(2))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.