DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Northern Trust Global Investments Ltd
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Apr 4, 2001
RAUM
$208B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
115
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$208B as of Mar 27, 2026
Mar 30, 2012$104B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)115 as of Mar 27, 2026
Mar 28, 201366 then
Private funds1 as of Mar 31, 2015
Mar 28, 20131 then
RAUM +10% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$131B63%
- Pension and profit-sharing plans$51B24%
- State and municipal entities$20B9.6%
- Sovereign wealth funds$4.6B2.2%
- Investment companies$1.4B0.7%
- Corporations and businesses$364M0.2%
- Charitable organizations$253M0.1%
- Other investment advisers$661,7240.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 33reported
- Charitable clients
- 1reported
- Accounts
- 198reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.64 institutional_share=0.36 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Richard Bartholomew · Directorcontrolsince 06/2023 · owns less than 5%
- Charles Searle Adam Hallsworth · Chief Financial Officercontrolsince 10/2022 · owns less than 5%
- Martin John Mccareins · Chief Executive Officercontrolsince 10/2023 · owns less than 5%
- Emelia Mary Frances Mcilrath · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- David James Rippey · Directorcontrolsince 02/2020 · owns less than 5%
- Bimal Shah · Directorcontrolsince 09/2015 · owns less than 5%
Entity owners
- Northern Trust Management Services Limited · Shareholderdirect · owns 75% or more
- Northern International Banking Corporation · Shareholderindirect · owns 75% or more of Northern Trust Management Services Limited
- Northern Trust Corporation · Shareholderindirect · owns 75% or more of The Northern Trust Company · public reporting company
- The Northern Trust Company · Shareholderindirect · owns 75% or more of The Northern Trust International Banking Corporation
Related persons
Schedule D 7.A
- 50 South Capital Advisors, LLCinvestment adviserbankpooled vehicle sponsornRAUM $16B
- Northern Trust Asset Mangement Australia Pty Ltdinvestment advisern
- Northern Trust Fund Managers (Ireland) Limitedinvestment adviserpooled vehicle sponsorn
- Northern Trust Global Advisors, Incinvestment advisern
- Northern Trust Global Investments Japan K.K.investment adviserpooled vehicle sponsorn
- Northern Trust Investments, Incorporatedinvestment adviserbankpooled vehicle sponsorreal estatenRAUM $1245B
- Northern Trust Securities Llpbroker-dealerinvestment advisern
- Northern Trust Securities, Incbroker-dealerinvestment adviserbanknRAUM $1.7B
- The Northern Trust Companyy
- The Northern Trust Company Of Hong Kong Limitedinvestment advisern
Advisers that list Northern Trust Global Investments Ltd as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 27, 2026institutional share of RAUM of 36% against a peer median of 0% (512 comparable advisers, 99.0th percentile, 12.2 robust deviations)peers: asset managers, $20B and over (512) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 179 to 198Mar 25, 2025 to Mar 27, 2026
- Advisory employees · 19 to 22Mar 25, 2025 to Mar 27, 2026
- Pooled vehicle clients · 8 to 9Mar 25, 2025 to Mar 27, 2026
- Employees · 104 to 115Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $189B to $208BMar 25, 2025 to Mar 27, 2026
- Pension RAUM · $44B to $51BMar 25, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $105B to $131BMar 25, 2025 to Mar 27, 2026
- RAUM · $189B to $208BMar 25, 2025 to Mar 27, 2026
- Accounts · 181 to 179Mar 25, 2024 to Mar 25, 2025
- Advisory employees · 18 to 19Mar 25, 2024 to Mar 25, 2025
- Corporate clients · 0 to 1Mar 25, 2024 to Mar 25, 2025
- Pension plan clients · 35 to 33Mar 25, 2024 to Mar 25, 2025
- Pooled vehicle clients · 7 to 8Mar 25, 2024 to Mar 25, 2025
- Employees · 94 to 104Mar 25, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 25, 2025
- HQ state · unset to Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $160B to $189BMar 25, 2024 to Mar 25, 2025
- Pension RAUM · $37B to $44BMar 25, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $83B to $105BMar 25, 2024 to Mar 25, 2025
- RAUM · $160B to $189BMar 25, 2024 to Mar 25, 2025
- Accounts · 127 to 181Dec 19, 2023 to Mar 25, 2024
- Advisory employees · 17 to 18Dec 19, 2023 to Mar 25, 2024
- Pension plan clients · 27 to 35Dec 19, 2023 to Mar 25, 2024
- Pooled vehicle clients · 54 to 7Dec 19, 2023 to Mar 25, 2024
- Employees · 96 to 94Dec 19, 2023 to Mar 25, 2024
- Discretionary RAUM · $143B to $160BDec 19, 2023 to Mar 25, 2024
- Pension RAUM · $31B to $37BDec 19, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $71B to $83BDec 19, 2023 to Mar 25, 2024
- RAUM · $143B to $160BDec 19, 2023 to Mar 25, 2024
- Accounts · 118 to 127Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 26 to 17Mar 31, 2022 to Mar 30, 2023
- Pension plan clients · 22 to 27Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 46 to 54Mar 31, 2022 to Mar 30, 2023
- Employees · 97 to 96Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $173B to $143BMar 31, 2022 to Mar 30, 2023
- Pension RAUM · $38B to $31BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $86B to $71BMar 31, 2022 to Mar 30, 2023
- RAUM · $173B to $143BMar 31, 2022 to Mar 30, 2023
- Accounts · 104 to 118Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 24 to 26Mar 30, 2021 to Mar 31, 2022
Signals
14 dated events
- Martin John Mccareins (Chief Executive Officer) appeared on Schedule A of Northern Trust Global Investments LtdDec 19, 2023 · Control person joined · fact
- Martha Mary Fee (Chief Operating Officer) no longer on Schedule A of Northern Trust Global Investments Ltd (listed 2023-06-30, absent 2023-12-19)Dec 19, 2023 · Control person left · inference
- Ellen Marie Dzanis (Director) no longer on Schedule A of Northern Trust Global Investments Ltd (listed 2023-06-30, absent 2023-12-19)Dec 19, 2023 · Control person left · inference
- Charles Searle Adam Hallsworth (Director) appeared on Schedule A of Northern Trust Global Investments LtdMar 30, 2023 · Control person joined · fact
- Martha Fee (Chief Operating Officer) no longer on Schedule A of Northern Trust Global Investments Ltd (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Martha Mary Fee (Chief Operating Officer) appeared on Schedule A of Northern Trust Global Investments LtdMar 30, 2023 · Control person joined · fact
- David James Rippey (Director) appeared on Schedule A of Northern Trust Global Investments LtdMar 30, 2021 · Control person joined · fact
- Edward Richard Bartholomew (Director) appeared on Schedule A of Northern Trust Global Investments LtdMar 30, 2021 · Control person joined · fact
- Ronald John Davie (Chief Financial Officer) no longer on Schedule A of Northern Trust Global Investments Ltd (listed 2020-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Robert Andrew Clayton (Director) no longer on Schedule A of Northern Trust Global Investments Ltd (listed 2020-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Mary Hazel Mcneilage (Director) no longer on Schedule A of Northern Trust Global Investments Ltd (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Ellen Marie Dzanis (Chief Executive Officer) appeared on Schedule A of Northern Trust Global Investments LtdMar 29, 2019 · Control person joined · fact
- Frances Mcilrath (Chief Compliance Officer) appeared on Schedule A of Northern Trust Global Investments LtdMar 29, 2019 · Control person joined · fact
- Northern Trust Global Investments Ltd reported RAUM $161.8B, up 28% from $126.8B (2018-02-16 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/NORTHERN-TRUST-ASSET-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- NORTHERNTRUST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 0044-(0)207-982-2000reportedpublic record, Form ADV, Mar 27, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026