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.

Former SEC-registered adviser

The Northern Trust Company Of Connecticut

Former SEC-registered adviserStamford, ConnecticutCRD 150423SEC 801-70379IAPD
Latest filing Dec 10, 2013
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$37B
reported, Item 5.F
Discretionary
93%
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
103
31 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
31
$2.0B gross assets
History
6 filings and snapshots on the tape
RAUM$37B as of Mar 27, 2013
Mar 29, 2012$34B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 103
Private funds31 as of Mar 27, 2013
Mar 29, 201226 then
RAUM +6.2% over the last fiscal year
Practice profile
derived from the filing of Dec 10, 2013; every figure names its basis
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
$308MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.2%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 fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a trust company (6.A.8)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
119reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Northern Trust Multi-Advisor FundsOther Private Fund$494M11Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Stephen Bowman · Directorcontrol
        since 03/2011 · owns less than 5%
      • Lynn Jennifer Driscoll · Directorcontrol
        since 07/2009 · owns less than 5%
      • B Sheri Hawkins · Senior Vice President/ Chief Financial Officercontrol
        since 07/2013 · owns less than 5%
      • William Patrick Herrington · Chief Operating Officer/Directorcontrol
        since 01/2011 · owns less than 5%
      • Jean Susan Hill · Chief Compliance Officercontrol
        since 12/2007 · owns less than 5%
      • Wallace Joseph Mcinerney · Ceo & President, Directorcontrol
        since 02/2010 · owns less than 5%
      • George Charles Mueller · Directorcontrol
        since 09/2010 · owns less than 5%
      • Niles Stephen Potter · Directorcontrol
        since 07/2009 · owns less than 5%
      • W. Alan Robertson · Chairman, Directorcontrol
        since 02/2010 · owns less than 5%
      • Edward Christopher Vella · Chief Investment Officer/Directorcontrol
        since 10/2011 · owns less than 5%
      • Arno Lloyd Wennlund · Directorcontrol
        since 06/2012 · owns less than 5%
      Entity owners
      • Northern Trust Corporation · Sole Shareholder
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      What changed
      consecutive filings, newest first
      • Accounts · 230 to 119
        Dec 14, 2012 to Mar 27, 2013
      • Advisory employees · 28 to 31
        Dec 14, 2012 to Mar 27, 2013
      • Advisory activities · 5 to 4
        Dec 14, 2012 to Mar 27, 2013
      • BD registered reps · 10 to 9
        Dec 14, 2012 to Mar 27, 2013
      • Employees · 102 to 103
        Dec 14, 2012 to Mar 27, 2013
      • Insurance-licensed employees · 8 to 0
        Dec 14, 2012 to Mar 27, 2013
      • State-registered IARs · 10 to 0
        Dec 14, 2012 to Mar 27, 2013
      • Private funds · 26 to 31
        Dec 14, 2012 to Mar 27, 2013
      • Discretionary RAUM · $33B to $34B
        Dec 14, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $1.6B to $2.7B
        Dec 14, 2012 to Mar 27, 2013
      • RAUM · $34B to $37B
        Dec 14, 2012 to Mar 27, 2013
      • Advisory employees · unset to 28.0
        Aug 1, 2012 to Dec 14, 2012
      • BD registered reps · unset to 10.0
        Aug 1, 2012 to Dec 14, 2012
      • Employees · unset to 102.0
        Aug 1, 2012 to Dec 14, 2012
      • State-registered IARs · unset to 10.0
        Aug 1, 2012 to Dec 14, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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