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 Securities, Inc
Legal name Northern Trust Securities, Inc.
Latest filing Jul 17, 2026
First filing on the tape Dec 17, 2014 · 75 filings
SEC status approved since Jan 2, 2015
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.6B individuals and HNW
Advisors
97
registered through the firm on IAPD
RAUM per advisor
$17.1M
derived; firm RAUM over IAPD count
Employees
385
41 advisory (5.B.1)
Offices
29
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$1.7B as of Jul 17, 2026
Mar 3, 2016$37.4M then
HNW client RAUM$1.5B as of Jul 17, 2026
Feb 8, 2018$173M then
State-registered IARs (5.B.3)91 as of Jul 17, 2026
Mar 3, 201678 then
Employees (5.A)385 as of Jul 17, 2026
Mar 3, 201678 then
Private funds: no history
RAUM +30% over the last fiscal year+26% a year over threeIARs 75 to 91offices 24 to 29
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $17.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $638,168derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 3.2derived30 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.7BreportedItem 5.I
- Custody
- $1.7B, 2,053 clientsreportedItem 9.A
- 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 broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B88%
- Individuals$175M11%
- Corporations and businesses$15.9M1.0%
- Charitable organizations$10.0M0.6%
- Individual clients
- 618reported
- HNW clients
- 1,406reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 2,605reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $1.1B sponsored, $0 managedreported
- Custody of client assets
- $1.7B for 2,053 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=377.0derived
Advisors registered through the firm
97 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Jerome Pazdan | Chicago, Il | Jan 14, 2015 | 32 y | 2 |
| Robert Alan FalatoCertified Financial Planner | Palatine, Il | Jan 26, 2015 | 35 y | 0 |
| Darren Michael AndersonCertified Financial Planner | Chicago, Il | Jan 26, 2015 | 27 y | 0 |
| Constance S CapcoCertified Financial Planner | Chicago, Il | Jan 27, 2015 | 27 y | 0 |
| Adam Justin SaltzmanCertified Financial Planner | Chicago, Il | Jan 27, 2015 | 25 y | 0 |
| Chris Arthur Galliano | Houston, Tx | Feb 5, 2015 | 25 y | 3 |
| Kenneth Roy Guttentag | Chicago, Il | Feb 5, 2015 | 29 y | 0 |
| Stephen James Wiley | Chicago, Il | Feb 5, 2015 | 19 y | 1 |
| Joseph Andrew AngileriCertified Financial Planner | Chicago, Il | Feb 5, 2015 | 18 y | 0 |
| Julian Lincoln Van Ostrand | Chicago, Il | Feb 5, 2015 | 20 y | 0 |
| David Woods Leonard | Elmhurst, Il | Feb 9, 2015 | 29 y | 1 |
| Ali Newberry Carmen | St. Petersburg, Fl | Feb 9, 2015 | 25 y | 0 |
| Sheryl Marie Nessel Cruz | Chicago, Il | Feb 9, 2015 | 22 y | 2 |
| Richard Charles Peterson | Chicago, Il | Feb 19, 2015 | 39 y | 4 |
| Edward W Yee | Chicago, Il | Mar 6, 2015 | 21 y | 0 |
| David Earl JohnsonCertified Financial Planner | Vero Beach, Fl | Mar 6, 2015 | 30 y | 1 |
| Brian Edward Monahan | Chicago, Il | Mar 10, 2015 | 21 y | 0 |
| Russell John Andersen | Naples, Fl | Mar 17, 2015 | 33 y | 0 |
| Ivy Romera Daily | Chicago, Il | Apr 7, 2015 | 25 y | 0 |
| Vincent W. Tunstall | Chicago, Il | Apr 8, 2015 | 27 y | 3 |
| Anderson Eduardo Ariza | Miami, Fl | Apr 9, 2015 | 23 y | 0 |
| Nick Megremis | Des Plaines, Il | Apr 22, 2015 | 23 y | 1 |
| Barbara Luis | Miami Beach, Fl | Apr 29, 2015 | 32 y | 0 |
| Ryan Leslie Lachmansingh | Jupiter, Fl | Jul 27, 2015 | 25 y | 3 |
| Therese Dianne Owen | Tempe, Az | Apr 7, 2016 | 23 y | 0 |
| Robert Raymond Borowczak | Fort Worth, Tx | Jun 24, 2016 | 21 y | 4 |
| Mitchell Blair Thornton | Elmhurst, Il | Jul 11, 2016 | 32 y | 4 |
| Karen Julene Cameron | Chicago, Il | Nov 23, 2016 | 27 y | 5 |
| George Edward Dernulc | Tempe, Az | Dec 19, 2016 | 25 y | 0 |
| Jeffrey Samuel WassonCertified Financial Planner | Scottsdale, Az | Feb 10, 2017 | 27 y | 4 |
| Justin David Leslein | Chicago, Il | Feb 21, 2017 | 10 y | 0 |
| Alexandra Marie Furlong | Chicago, Il | Apr 27, 2017 | 12 y | 3 |
| Justin Aaron MendezCertified Financial Planner | Austin, Tx | Jan 8, 2018 | 10 y | 0 |
| John Haney Smith | Chicago, Il | Mar 9, 2018 | 32 y | 0 |
| Sandra J Bell | Dallas, Tx | Mar 21, 2018 | 26 y | 4 |
| Joseph Edward MoorheadCertified Financial Planner | Chicago, Il | May 18, 2018 | 30 y | 2 |
| Brian John Rippel | Chicago, Il | Jun 4, 2018 | 12 y | 0 |
| Tamara Jeannette Buchanan | Tucson, Az | Aug 21, 2019 | 18 y | 0 |
| Alvaro Roberto Alonso | Miami, Fl | Nov 14, 2019 | 11 y | 0 |
| Narsai George Toma | Chicago, Il | Dec 20, 2019 | 11 y | 1 |
Advisor movement
10 left, 12 joined in 12 months
net +2 in 12 months2 left in 90 days4 joined in 90 daysdeparture rate 10% of current headcount17 left over 36 months
Left, latest
- Henry Philip Rawlins to J.P. Morgan Securities LLCAug 14, 2026 · Affiliated broker-dealer or bank to wirehouse
- Dillon John Kane to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 29, 2026 · Affiliated broker-dealer or bank to wirehouse
- George Hurley to Creative PlanningMay 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- Matthew John Williams to Mercer Global Advisors Inc.May 19, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kevin J Ryan to MarinerMar 4, 2026 · Affiliated broker-dealer or bank to another
- Andrea Nicole Atencio to Schulz Financial GroupNov 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- Daniel John Collins to William Blair & Company L.L.C.Nov 4, 2025 · Affiliated broker-dealer or bank to another
- Gregory Shinderman to Robinhood Asset ManagementNov 4, 2025 · Affiliated broker-dealer or bank to another
- Casey A Prisco to Morgan StanleyOct 14, 2025 · Affiliated broker-dealer or bank to wirehouse
- Cory Brian Finke to Roth Capital Partners, LLCSep 22, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Matthew Corbitt to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 25, 2025 · Affiliated broker-dealer or bank to wirehouse
- Kollin Schaudt to Citigroup Global Markets Inc.Jun 20, 2025 · Affiliated broker-dealer or bank to another
- Michael Bibbiano to Citigroup Global Markets Inc.Jun 10, 2025 · Affiliated broker-dealer or bank to another
- Christopher Daniel Ferraro to Highpoint Planning PartnersApr 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- Matthew Thomas Boswell to Ameriprise Financial Services, LLCMay 8, 2024 · Affiliated broker-dealer or bank to another
Joined, latest
- Christopher Douglas Begbie from Good Life Advisors, LLCSep 9, 2026 · RIA to affiliated broker-dealer or bank
- Christopher M Janc from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Zachary Daniel Bittenbender from Cetera Investment Advisers LLCJul 22, 2026 · Affiliated broker-dealer or bank to another
- David Skolnik from Strategic Advisers LLCJul 7, 2026 · Affiliated broker-dealer or bank to another
- Zach Turner Granberry from Texas Capital Bank Private Wealth AdvisorsApr 28, 2026 · RIA to affiliated broker-dealer or bank
- Annette Guerra Musa from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 16, 2026 · Wirehouse to affiliated broker-dealer or bank
- Brandon Chance Kaletkowski from Truist Advisory Services, Inc.Apr 15, 2026 · Affiliated broker-dealer or bank to another
- Matthew Richard Kline from Texas Capital Bank Private Wealth AdvisorsApr 1, 2026 · RIA to affiliated broker-dealer or bank
- Brent Allen Penrose from J.P. Morgan Securities LLCFeb 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Eric M Fasse from Cabrera Capital PartnersFeb 2, 2026 · Other
- Chris Baker from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 13, 2025 · Wirehouse to affiliated broker-dealer or bank
- Ramsen E Odicho from Edward JonesSep 29, 2025 · Affiliated broker-dealer or bank to another
- Casey A Prisco from Morgan StanleySep 16, 2025 · Wirehouse to affiliated broker-dealer or bank
- Aleese Peterson-Cotton from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 4, 2025 · Wirehouse to affiliated broker-dealer or bank
- Lazarus L Goosby from Nuveen Asset Management, LLCAug 13, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Citigroup Global Markets Inc.Jun 10, 2025 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ryan Douglas Burns · Directorcontrolsince 08/2021 · owns less than 5%
- Jon Vincent Cherry · Presidentcontrolsince 02/2021 · owns less than 5%
- Dino Anthony Devita · Directorcontrolsince 02/2026 · owns less than 5%
- Debra Ann Griewahn · Chief Compliance Officercontrolsince 11/2006 · owns less than 5%
- Kristin Anne Missil · Chief Financial Officercontrolsince 06/2023 · owns less than 5%
- Melanie Zairis Pickett · Directorcontrolsince 06/2023 · owns less than 5%
- Sunitha Cherian Thomas · Directorcontrolsince 03/2024 · owns less than 5%
- Mitchell Blair Thornton · Directorcontrolsince 07/2014 · owns less than 5%
- David Charles Blowers · Directorsince 01/2018 · owns less than 5%
- Craig Richard Carberry · Secretarysince 10/2020 · owns less than 5%
- Darlene Chappell · Mlro (Anti-Money Laundering Officer)since 09/2025 · owns less than 5%
- Katherine Therese Ellis · Directorsince 11/2013 · owns less than 5%
- Stephanie Eckert Goforth · Directorsince 09/2023 · owns less than 5%
- Anthony Joseph Peccatiello · Chief Operations Officersince 01/2024 · owns less than 5%
- Amanda Tawney Williams · Chief Compliance Officersince 03/2025 · owns less than 5%
Entity owners
- Northern Trust Corporation · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- 50 South Capital Advisors, LLCinvestment adviserbankpooled vehicle sponsornRAUM $16B
- Northern Trust Fund Managers (Ireland) Limitedpooled vehicle sponsorn
- Northern Trust Global Investments Japan, K.K.investment advisern
- Northern Trust Global Investments Ltdinvestment advisernRAUM $208B
- Northern Trust Investments, Incorporatedinvestment adviserbankpooled vehicle sponsornRAUM $1245B
- Northern Trust Securities Australia Pty Ltdbroker-dealern
- Northern Trust Securities, Llpbroker-dealern
- Nt Global Advisors, Inc.investment advisern
- The Northern Trust Companyn
- The Northern Trust Company Of Hong Kong Limitedinvestment advisern
Advisers that list Northern Trust Securities, Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 87 | 14 | 8 | ||
| Tempe, Az | 12 | 1 | 0 | ||
| St Petersburg, Fl | 6 | 0 | 1 | ||
| Miami, Fl | 4 | 0 | 0 | ||
| Ft Lauderdale, Fl | 4 | 1 | 1 | ||
| Elmhurst, Il | 3 | 1 | 0 | ||
| Skokie, Il | 3 | 0 | 0 | ||
| Boca Raton, Fl | 3 | 1 | 0 | ||
| Phoenix, Az | 3 | 1 | 0 | ||
| Oak Lawn, Il | 3 | 1 | 0 | ||
| Houston, Tx | 3 | 1 | 0 | ||
| Naples, Fl | 2 | 0 | 0 | ||
| Oakbrook Terrace, Il | 2 | 1 | 0 | ||
| Palatine, Il | 2 | 1 | 0 | ||
| Queen Creek, Az | 2 | 0 | 0 | ||
| San Francisco, Ca | 2 | 0 | 0 | ||
| Scottsdale, Az | 2 | 1 | 0 | ||
| Tampa, Fl | 2 | 0 | 0 | ||
| Tucson, Az | 2 | 1 | 0 | ||
| Key Biscayne, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL3 employees
- Los Angeles, CA3 employees
- Houston, TX2 employees
- North Palm Beach, FL2 employees
- Tucson, AZ2 employees
- Dallas, TX2 employees
- Lake Forest, IL2 employees
- Phoenix, AZ2 employees
- Bonita Springs, FL2 employees
- Vero Beach, FL2 employees
- Winnetka, IL2 employees
- Boca Raton, FL2 employees
- San Francisco, CA2 employees
- Menlo Park, CA1 employees
- Barrington, IL1 employees
- Newport Beach, CA1 employees
- Oakbrook Terrace, IL1 employees
- Boston, MA1 employees
- Naples, FL1 employees
- Sarasota, FL1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 17, 2026DEVITA, DINO ANTHONY (DIRECTOR) appeared on Schedule A between the filings of 2024-04-22 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026GRIEWAHN, DEBRA ANN (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-04-22 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026CHERRY, JON VINCENT (PRESIDENT) left Schedule A between the filings of 2024-04-22 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026MISSIL, KRISTIN ANNE (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-04-22 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 76.0 to 385.0 (+407.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +1.0% (52 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 2,283 to 2,605Jul 8, 2025 to Mar 31, 2026
- Advisory employees · 62 to 41Jul 8, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Jul 8, 2025 to Mar 31, 2026
- BD registered reps · 75 to 377Jul 8, 2025 to Mar 31, 2026
- Charity clients · 10 to 11Jul 8, 2025 to Mar 31, 2026
- Corporate clients · 16 to 14Jul 8, 2025 to Mar 31, 2026
- HNW clients · 1,625 to 1,406Jul 8, 2025 to Mar 31, 2026
- Individual clients · 628 to 618Jul 8, 2025 to Mar 31, 2026
- Commission compensation · true to falseJul 8, 2025 to Mar 31, 2026
- Assets in custody · $1.3B to $1.7BJul 8, 2025 to Mar 31, 2026
- Employees · 76 to 385Jul 8, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 35Jul 8, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 251-500Jul 8, 2025 to Mar 31, 2026
- State-registered IARs · 75 to 91Jul 8, 2025 to Mar 31, 2026
- Other offices · 24 to 29Jul 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.7BJul 8, 2025 to Mar 31, 2026
- HNW RAUM · $1.1B to $1.5BJul 8, 2025 to Mar 31, 2026
- Individual RAUM · $146M to $175MJul 8, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.7BJul 8, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $788M to $1.1BJul 8, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jul 8, 2025
- Advisory activities · 4 to 3Feb 27, 2025 to Mar 31, 2025
- Accounts · 2,110 to 2,283Dec 13, 2024 to Feb 27, 2025
- Advisory employees · 70 to 62Dec 13, 2024 to Feb 27, 2025
- BD registered reps · 74 to 75Dec 13, 2024 to Feb 27, 2025
- Charity clients · 7 to 10Dec 13, 2024 to Feb 27, 2025
- Corporate clients · 22 to 16Dec 13, 2024 to Feb 27, 2025
- HNW clients · 1,458 to 1,625Dec 13, 2024 to Feb 27, 2025
- Individual clients · 618 to 628Dec 13, 2024 to Feb 27, 2025
- Assets in custody · $1.0B to $1.3BDec 13, 2024 to Feb 27, 2025
- Employees · 75 to 76Dec 13, 2024 to Feb 27, 2025
- Insurance-licensed employees · 6 to 0Dec 13, 2024 to Feb 27, 2025
- State-registered IARs · 70 to 75Dec 13, 2024 to Feb 27, 2025
- Other offices · 20 to 24Dec 13, 2024 to Feb 27, 2025
- Discretionary RAUM · $1.0B to $1.3BDec 13, 2024 to Feb 27, 2025
- HNW RAUM · $861M to $1.1BDec 13, 2024 to Feb 27, 2025
- Individual RAUM · $136M to $146MDec 13, 2024 to Feb 27, 2025
- RAUM · $1.0B to $1.3BDec 13, 2024 to Feb 27, 2025
- Wrap assets (sponsor) · $555M to $788MDec 13, 2024 to Feb 27, 2025
- Accounts · 2,003 to 2,110Oct 11, 2023 to Mar 21, 2024
Signals
44 dated events
- Henry Philip Rawlins left Northern Trust Securities, Inc for J.P. Morgan Securities Llc (registered 2026-08-11)Aug 14, 2026 · Advisor changed firm · fact
- Dillon John Kane left Northern Trust Securities, Inc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-07-23)Jul 29, 2026 · Advisor changed firm · fact
- George Hurley left Northern Trust Securities, Inc for Creative Planning (registered 2026-05-21)May 26, 2026 · Advisor changed firm · fact
- Matthew John Williams left Northern Trust Securities, Inc for Mercer Global Advisors Inc. (registered 2026-05-15)May 19, 2026 · Advisor changed firm · fact
- Northern Trust Securities, Inc reported 29 offices beyond its principal office, up from 24 (2025-07-08 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- Northern Trust Securities, Inc reported RAUM $1.7B, up 30% from $1.3B (2025-07-08 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Northern Trust Securities, Inc reported 91 state-registered advisory representatives, up from 75 (2025-07-08 to 2026-03-31)Mar 31, 2026 · Advisor headcount change · derived
- Kevin J Ryan left Northern Trust Securities, Inc for Mariner (registered 2026-03-09)Mar 4, 2026 · Advisor changed firm · fact
- Gregory Shinderman left Northern Trust Securities, Inc for Robinhood Asset Management (registered 2026-04-30)Nov 4, 2025 · Advisor changed firm · fact
- Andrea Nicole Atencio left Northern Trust Securities, Inc for Schulz Financial Group (registered 2026-08-31)Nov 4, 2025 · Advisor changed firm · fact
- Daniel John Collins left Northern Trust Securities, Inc for William Blair & Company L.L.C. (registered 2025-11-05)Nov 4, 2025 · Advisor changed firm · fact
- Casey A Prisco left Northern Trust Securities, Inc for Morgan Stanley (registered 2025-11-04)Oct 14, 2025 · Advisor changed firm · fact
- Cory Brian Finke left Northern Trust Securities, Inc for Roth Capital Partners, Llc (registered 2025-09-23)Sep 22, 2025 · Advisor changed firm · fact
- Matthew Corbitt left Northern Trust Securities, Inc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-07-29)Jul 25, 2025 · Advisor changed firm · fact
- Kollin Schaudt left Northern Trust Securities, Inc for Citigroup Global Markets Inc. (registered 2025-07-03)Jun 20, 2025 · Advisor changed firm · fact
- 2 advisors left Northern Trust Securities, Inc (Chicago, IL) for Citigroup Global Markets Inc. within 10 daysJun 10, 2025 · Team lift-out · derived
- Michael Bibbiano left Northern Trust Securities, Inc for Citigroup Global Markets Inc. (registered 2025-07-03)Jun 10, 2025 · Advisor changed firm · fact
- Christopher Daniel Ferraro left Northern Trust Securities, Inc for Highpoint Planning Partners (registered 2025-04-10)Apr 8, 2025 · Advisor changed firm · fact
- Matthew Thomas Boswell left Northern Trust Securities, Inc for Ameriprise Financial Services, Llc (registered 2025-04-18)May 8, 2024 · Advisor changed firm · fact
- Northern Trust Securities, Inc reported 70 state-registered advisory representatives, up from 58 (2023-10-11 to 2024-03-21)Mar 21, 2024 · Advisor headcount change · derived
- Kimberly Victoria Rian Haupin left Northern Trust Securities, Inc for Bny Mellon Securities Corporation (registered 2024-02-19)Feb 9, 2024 · Advisor changed firm · fact
- Andrew Grabato left Northern Trust Securities, Inc for J.P. Morgan Securities Llc (registered 2024-02-02)Jan 18, 2024 · Advisor changed firm · fact
- Mariano M Perez left Northern Trust Securities, Inc for Edward Jones (registered 2024-01-16)Aug 1, 2023 · Advisor changed firm · fact
- Frank Becker left Northern Trust Securities, Inc for Citigroup Global Markets Inc. (registered 2023-08-02)Jul 20, 2023 · Advisor changed firm · fact
- Kristin Anne Missil (Chief Financial Officer) appeared on Schedule A of Northern Trust Securities, IncJun 30, 2023 · Control person joined · fact
- Mark Dragoslovich left Northern Trust Securities, Inc for Wells Fargo Advisors (registered 2023-02-10)Feb 7, 2023 · Advisor changed firm · fact
- Paul Michael Jocson Reyes left Northern Trust Securities, Inc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-01-30)Jan 11, 2023 · Advisor changed firm · fact
- Matthew Christopher Ochoa left Northern Trust Securities, Inc for Citigroup Global Markets Inc. (registered 2023-01-09)Dec 6, 2022 · Advisor changed firm · fact
- Daniel Schuld left Northern Trust Securities, Inc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-04-19)Aug 25, 2022 · Advisor changed firm · fact
- Michael Robert Schwaeber (Chief Financial Officer) no longer on Schedule A of Northern Trust Securities, Inc (listed 2022-06-02, absent 2022-07-13)Jul 13, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- NORTHERN TRUST SECURITIES, INC. · Independent Sponsorsshared crd · intermediary
- Northern Trust Securities, Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- NORTHERNTRUST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-630-6000reportedpublic record, Form ADV, Jul 17, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $17.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026