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NORTHERN TRUST SECURITIES, INC
Legal name: NORTHERN TRUST SECURITIES, INC.
CRD 7927File 801-80781
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.66B
Top 25% of cohort (national)
Discretionary AUM
$1.66B
Clients
2,049
2,605 accounts
Employees
385
Above cohort median in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 2, 2015
- Principal office
- 333 S. WABASH AVENUE, 34TH FLOOR, CHICAGO, IL, 60604
- Phone
- 312-630-6000
- Website
- HTTP://WWW.NORTHERNTRUST.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.66B
- Discretionary AUM
- $1.66B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,605
- Non-discretionary accounts
- 0
- Total accounts
- 2,605
- AUM per client
- $811K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 14 | $15.9M |
| Charitable organizations | 11 | $10.0M |
| High net worth individuals | 1,406 | $1.46B |
| Individuals (other than high net worth individuals) | 618 | $175.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 2,053 | 2,049 | decreased by4 |
| Apr 1, 2026 | Employees | 76 | 385 | increased by309 |
| Apr 1, 2026 | Clients | 2,283 | 2,053 | decreased by230 |
| Apr 1, 2026 | AUM | $1,276,929,981 | $1,662,427,504 | increased by$385,497,523 |
| Apr 1, 2026 | Accounts | 2,283 | 2,605 | increased by322 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 72 | 76 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,826 | 2,283 | increased by457 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $860,963,856 | $1,276,929,981 | increased by$415,966,125 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,826 | 2,283 | increased by457 |
| Apr 1, 2022 | Employees | 68 | 72 | increased by4 |
| Apr 1, 2022 | Clients | 1,471 | 1,826 | increased by355 |
| Apr 1, 2022 | AUM | $619,717,281 | $860,963,856 | increased by$241,246,575 |
| Apr 1, 2022 | Accounts | 1,471 | 1,826 | increased by355 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NORTHERN TRUST” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NORTHERN TRUST” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.