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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

THE NORTHERN TRUST COMPANY OF CONNECTICUT

CRD 150423

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:051af333-b3ac-c454-49ea-bfd81bbf8d94

Data as of Dec 10, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Dec 10, 2013
6 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

The Northern Trust Company of Connecticut

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $37BItem 5.F on the latest filing (2013-12-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $34B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 103
Advisory employees: 31
Accounts: 119
Private funds: 31Schedule D 7.B(1)
Private fund GAV: $2.0Bgross asset value as reported per fund; never fund size
SEC number: 801-70379
CRD: 150423
Filings on the tape: 6
First filed: Mar 29, 2012
Latest filed: Dec 10, 2013
Organised: Other (specify), Connecticut

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
NORTHERN TRUST MULTI-ADVISOR FUNDS	Other Private Fund	$494M	Dec 14, 2012	11	Mar 29, 2012	reported	021-112915

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOWMAN, STEPHEN	Director	Na	yes	03/2011	Mar 29, 2012	Dec 10, 2013
DRISCOLL, JENNIFER, LYNN	Director	Na	yes	07/2009	Mar 29, 2012	Dec 10, 2013
HAWKINS, SHERI, B	SENIOR VICE PRESIDENT/ CHIEF FINANCIAL OFFICER	Na	yes	07/2013	Dec 10, 2013	Dec 10, 2013
HERRINGTON, PATRICK, WILLIAM	CHIEF OPERATING OFFICER/DIRECTOR	Na	yes	01/2011	Mar 29, 2012	Dec 10, 2013
HILL, SUSAN, JEAN	CHIEF COMPLIANCE OFFICER	Na	yes	12/2007	Mar 29, 2012	Dec 10, 2013
MCINERNEY, JOSEPH, WALLACE	CEO & PRESIDENT, DIRECTOR	Na	yes	02/2010	Mar 29, 2012	Dec 10, 2013
MUELLER, CHARLES, GEORGE	Director	Na	yes	09/2010	Mar 29, 2012	Dec 10, 2013
NORTHERN TRUST CORPORATION	SOLE SHAREHOLDER	E	yes	01/2012	Mar 29, 2012	Dec 10, 2013
POTTER, STEPHEN, NILES	Director	Na	yes	07/2009	Mar 29, 2012	Dec 10, 2013
ROBERTSON, ALAN, W.	CHAIRMAN, DIRECTOR	Na	yes	02/2010	Mar 29, 2012	Dec 10, 2013
VELLA, CHRISTOPHER, EDWARD	CHIEF INVESTMENT OFFICER/DIRECTOR	Na	yes	10/2011	Mar 29, 2012	Dec 10, 2013
WENNLUND, LLOYD, ARNO	Director	Na	yes	06/2012	Aug 1, 2012	Dec 10, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NORTHERN TRUST INVESTMENTS, INCORPORATED	n/a	Asset manager	$1245B	N	yes	n/a
NORTHERN TRUST GLOBAL INVESTMENTS LTD	n/a	Asset manager	$208B	N	yes	n/a
NORTHERN TRUST SECURITIES, INC.	n/a	Bd affiliated wealth	$1.7B	N	yes	n/a
NT GLOBAL ADVISORS, INC	n/a	n/a	n/a	Y	no	n/a
THE NORTHERN TRUST COMPANY	n/a	n/a	n/a	N	yes	IL

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 27, 2013	$37B	$34B	103	31	n/a	31	$2.0B
2011	Mar 29, 2012	$34B	$33B	n/a	n/a	n/a	26	$2.4B

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$37B	$34B	6.2%	n/a	n/a	103	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ NORTHERN TRUST INVESTMENTS, INCORPORATEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ NORTHERN TRUST GLOBAL INVESTMENTS LTDRegistered adviserother investment adviser, common control
factForm ADV
→ NORTHERN TRUST SECURITIES, INCRegistered adviserbroker-dealer, common control
factForm ADV

Controls (12)

← WENNLUND, LLOYD, ARNOOwnerDIRECTOR, ownership code NA, individual
Aug 1, 2012 to presentfactForm ADV
← ROBERTSON, ALAN, W.OwnerCHAIRMAN, DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HILL, SUSAN, JEANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← POTTER, STEPHEN, NILESOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← MUELLER, CHARLES, GEORGEOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← VELLA, CHRISTOPHER, EDWARDOwnerCHIEF INVESTMENT OFFICER/DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← MCINERNEY, JOSEPH, WALLACEOwnerCEO & PRESIDENT, DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← BOWMAN, STEPHENOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← DRISCOLL, JENNIFER, LYNNOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HERRINGTON, PATRICK, WILLIAMOwnerCHIEF OPERATING OFFICER/DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HAWKINS, SHERI, BOwnerSENIOR VICE PRESIDENT/ CHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 10, 2013 to presentfactForm ADV
← NORTHERN TRUST CORPORATIONOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV

Advises (1)

→ NORTHERN TRUST MULTI-ADVISOR FUNDSPrivate fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:051af333-b3ac-c454-49ea-bfd81bbf8d94
First observed: Mar 29, 2012
Last observed: Dec 10, 2013 155 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THE NORTHERN TRUST COMPANY OF CONNECTICUT

CRD 150423

STAMFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:051af333-b3ac-c454-49ea-bfd81bbf8d94

Data as of Dec 10, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:01 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NORTHERN TRUST MULTI-ADVISOR FUNDS

Other Private Fund

$494M

Dec 14, 2012

Mar 29, 2012

reported

021-112915

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOWMAN, STEPHEN

Director

yes

03/2011

Mar 29, 2012

Dec 10, 2013

DRISCOLL, JENNIFER, LYNN

Director

yes

07/2009

Mar 29, 2012

Dec 10, 2013

HAWKINS, SHERI, B

SENIOR VICE PRESIDENT/ CHIEF FINANCIAL OFFICER

yes

07/2013

Dec 10, 2013

HERRINGTON, PATRICK, WILLIAM

CHIEF OPERATING OFFICER/DIRECTOR

yes

01/2011

Mar 29, 2012

Dec 10, 2013

HILL, SUSAN, JEAN

CHIEF COMPLIANCE OFFICER

yes

12/2007

Mar 29, 2012

Dec 10, 2013

MCINERNEY, JOSEPH, WALLACE

CEO & PRESIDENT, DIRECTOR

yes

02/2010

Mar 29, 2012

Dec 10, 2013

MUELLER, CHARLES, GEORGE

Director

yes

09/2010

Mar 29, 2012

Dec 10, 2013

NORTHERN TRUST CORPORATION

SOLE SHAREHOLDER

yes

01/2012

Mar 29, 2012

Dec 10, 2013

POTTER, STEPHEN, NILES

Director

yes

07/2009

Mar 29, 2012

Dec 10, 2013

ROBERTSON, ALAN, W.

CHAIRMAN, DIRECTOR

yes

02/2010

Mar 29, 2012

Dec 10, 2013

VELLA, CHRISTOPHER, EDWARD

CHIEF INVESTMENT OFFICER/DIRECTOR

yes

10/2011

Mar 29, 2012

Dec 10, 2013

WENNLUND, LLOYD, ARNO

Director

yes

06/2012

Aug 1, 2012

Dec 10, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NORTHERN TRUST INVESTMENTS, INCORPORATED

n/a

Asset manager

$1245B

yes

n/a

NORTHERN TRUST GLOBAL INVESTMENTS LTD

n/a

Asset manager

$208B

yes

n/a

NORTHERN TRUST SECURITIES, INC.

n/a

Bd affiliated wealth

$1.7B

yes

n/a

NT GLOBAL ADVISORS, INC

n/a

THE NORTHERN TRUST COMPANY

n/a

yes

City

State

Country

Employees

Also broker-dealer

Chicago

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 27, 2013

$37B

$34B

103

n/a

$2.0B

2011

Mar 29, 2012

$34B

$33B

n/a

$2.4B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$37B

$34B

6.2%

n/a

103

n/a