SourcingSourcing

NORTHERN TRUST SECURITIES, INC.

C29
CRD 7927·SEC 801-80781·CHICAGO, IL
AUM
$1.66B
$1B+
Est. Revenue
$16.6M
@ 1% on AUM
Est. EBITDA
$5.0M
@ 30% margin
Est. Deal Value
$39.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NORTHERN TRUST SECURITIES, INC.
CRD
7927
SEC file #
801-80781
EIN
000000000
DBA names
Northern Trust Securities, Inc

Economics

AUM
$1.66B
AUM band
$1B+
AUM trajectory
'20'26
$381.5M → $1.66B▲ +336%
Client mix
Individuals High Net Worth1,406
Individuals Other618
Corporations14
Charitable Organizations11
Other4

Operations

Employees (total)
385
Advisory staff (per ADV)
41
Advisory staff (5-yr trend)
'20'26
64 advisors → 41 advisors▼ -36%
Primary office
CHICAGO IL
Branches
—

Custodian & Brokerage

Primary custodian
Northern Trustmedium confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
northerntrust.com

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NORTHERN TRUST CORPORATION
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
11
Control Persons
NORTHERN TRUST CORPORATION
BLOWERS, DAVID CHARLES
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NORTHERNTRUST.COM
Rdap Domain Creation Date
1996-07-23T04:00:00Z
Rdap Firm Age Years
30
Rdap Firm Age Band
20+y
Rdap Registrar
CSC Corporate Domains, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
17,730
Form 5500 Compensation Trajectory 3y
202517,730
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
17,730
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001544906
Edgar Registered
Yes
Edgar Filing Count
12
Edgar First Filing Date
2012-03-19
Edgar Last Filing Date
2020-02-06
Edgar Form D Count
12
Edgar Form D Offerings
2020-02-062020-02-06 · 0001405086-20-000028
2019-02-062019-02-06 · 0001405086-19-000032
Edgar Former Names
NORTHERN TRUST MULTI-ADVISOR FUNDS - SERIES: EMERGING MARKETS DEBT FUND - MULTI-MANAGER

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4035
Soi Zip Pct 200k Plus
0.2105
Soi Zip Returns 200k Plus
120
Soi Zip Total AGI
278,808
Fdic Zip Total Deposits
128,753,602,000
Fdic Zip Branch Count
315
Fdic Zip Top Banks
Bank of America, National Association
Wintrust Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (26)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
11
Bc Firm IAR Count
50
Custodian Candidates
Window
Northern Trust1
Full
Northern Trust12
Fidelity5
E*trade4
Edgar Addresses
Mailing
C/O NORTHERN TRUST INVESTMENTS, INC.50 SOUTH LASALLE STREETCHICAGO, IL 60603
Business
C/O NORTHERN TRUST INVESTMENTS, INC.50 SOUTH LASALLE STREETCHICAGO, IL 60603
Edgar EIN
000000000
Edgar Recent Filings
D/A2020-02-06 · 0001405086-20-000028
D/A2019-02-06 · 0001405086-19-000032
Fdic Zip Branches Raw
Midwest Bank and Trust CompanyChicago, IL
Lakeside BankChicago, IL
Fdic Zip HHI
1572.76
Fdic Zip Top Bank Share Pct
27.27
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-07-22T04:00:00Z
Rdap Domain Last Changed
2025-07-18T05:06:40Z
Rdap Nameservers
A1-190.akam.netA22-66.akam.netA5-65.akam.netEdns1.ultradns.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI1,349
Returns120
Stub 2
AGI3,314
Returns90
Stub 3
AGI5,145
Returns80
Soi Zip Total Business Income
610
Soi Zip Total Cap Gains
58,018
Soi Zip Total Dividends
30,646
Soi Zip Total Returns
570
Trust Company Affiliate
Yes

People (60)

60
BLOWERS, DAVID CHARLES
Executive Officer · 2.5%
4377133
BURNS, RYAN DOUGLAS
Executive Officer · 2.5%
7427168
DEVITA, DINO ANTHONY
Executive Officer · 2.5%
3022063
PICKETT, MELANIE ZAIRIS
Executive Officer · 2.5%
3256748
THOMAS, SUNITHA CHERIAN
Executive Officer · 2.5%
7881171
MITCHELL BLAIR THORNTON
Executive Officer · 2.5%
2515299
CARBERRY, CRAIG RICHARD
Executive Officer · 2.5%
2075889
CHAPPELL, DARLENE
Executive Officer · 2.5%
8158928
ANTHONY JOSEPH PECCATIELLO
Executive Officer · 2.5%
5716365
Amanda Tawney Williams
Executive Officer · 2.5%
4195897
Frederick Hoyt McCrea
IAR
2270646
TRACY L SCHNEIDER
IAR
2366745
Tina Marie Black
IAR
6602247
Ranard Keith Woods
IAR
7586748
Trent Michael Reavell
IAR
6881877
Isabel Machlin
IAR
8034633
Meghan Colleen Bourke
IAR
7117720
RYAN P ANDREW
IAR
4857524
KELLY RAE WILSON
IAR
5846524
Stefanie Krasic Williams
IAR
6790448
PHILIP TEDESCHI
IAR
5977218
JEFFREY ALAN ELLITHORPE
IAR
4441983
LAUREN ELIZABETH METAJ
IAR
5485144
ANGELA HEATH ANAST
IAR
2879516
MICHAEL FREDERICK MARDEROSIAN
IAR
4548373
MICHAEL BRANDON BURDEEN
IAR
6424086
MICHAEL JAMES TERZICH
IAR
2811877
Andrew William Sherman
IAR
6602032
Jonathan Daniel Kobiljak
IAR
6611501
Stephanie Harper Stefanik
IAR
7697504
Samuel Greenwood Lincoln
IAR
8137680
COLE STEVEN SUNDERLAND
IAR
6499022
SHARON PEARSON JOHNS
IAR
4342346
IVY ROMERA DAILY
IAR
4267549
JODI BRYANNE KOMAN
IAR
4463428
SANDRA MARIE HECIMOVICH
IAR
5771905
JOSEPH TIRALOSI
IAR
5646189
ROBERT LAURISTON JOHN ARNOTT
IAR
6258888
Brian Jacob Harlan
IAR
8143289
KEVIN P ABE
IAR
6497607
DAVID HODGSON FIX
IAR
2565428
WILLIAM MICHAEL KINCAID
IAR
2129678
PETER FRANCIS REINHART
IAR
6293162
ASHLEY ELIZABETH ALSON
IAR
5738401
Brian Cahill
IAR
8015375
STEVEN CHARLES O'CONNELL
IAR
5145721
Aaron Goetz
IAR
8021164
ERNESTO ENRIQUE GORDON
IAR
2754517
Ingrid Marie Falls
IAR
7561834
KIERAN STEPHEN BROWNE
IAR
5065775
SAWYER MICHAEL SULLIVAN
IAR
7766719
Megan McCarthy Hayes
IAR
7780875
JOHN ANDREW TSARWHAS
IAR
6982974
RONALD GRANT JOHNSEY
IAR
2900308
HARREE JON MILLER
IAR
1848039
GEORGE EDWARD DERNULC
IAR
4581499
SHAUN MICHAEL FLAVIN
IAR
5590334
SHAWN DUANE KIRBY
IAR
2772477
JACQUELINE ANNE O'BRIEN
IAR
1974203
KENNETH H LASSNER
IAR
4598277