Northern Trust Global Investments Ltd (London)

Name: Northern Trust Global Investments Ltd
Address: 50 Bank Street, London, E145 Nt
Telephone: 0044-(0)207-982-2000

Northern Trust Global Investments Ltd is a large advisory firm based in London. It manages $135.76 billion of regulatory assets for 114 client accounts. It has been registered with the SEC as an adviser since 2006.

Northern Trust Global Investments provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Northern Trust Global Investments: assets under management

The assets under management (AUM) of Northern Trust Global Investments Ltd is $135.76 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 561% since the beginning of its operation, and $135.76 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $135.76 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.19 billion each.

Investments

The firm invests in exchange traded securities the most. They account for 75% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 18% of the firm’s portfolio. Investments in sovereign bonds form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Northern Trust Global Investments Ltd for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Wilson Leech serves?

The firm provides services to investment companies, pooled investment vehicles, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Wilson Leech is pooled investment vehicles with 38 clients and $48.96 billion of assets under management. Among the 9 most similar advisory firms, Northern Trust Global Investments has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $134.11 billion for 79 clients. 100% of the firm’s clients are foreign persons or businesses.

Northern Trust Global Investments doesn't advise any private funds.

Careers at Northern Trust Global Investments Ltd

The company employs 70 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Wilson Leech has been acting as President since 1 Dec 2010. Martha Fee joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
The Northern Trust International Banking Corporation	Shareholder	1 May 2000	75% - 100%	13-2607193
Kevin Joseph Rochford	Director	1 Oct 2000	Other	4377119
Orie Leslie Dudley	Director	1 Mar 2001	Other	1655466
Stephen N Potter	Chairman	1 Oct 2001	Other	2729902
Nicholas J Ring	Managing-director	1 Oct 2001	Other	4489387
Mark Carlton Gossett	Director	1 Mar 2002	Other	4518094
Barry Robert Sagraves	Ceo	1 Apr 2003	Other	1715924
Neal Franklin	Chief compliance officer	1 Sep 2005	Other	5030917
Wilson Leach	Director	1 Sep 2005	Other	5030918
Stephen Bowman	Director	1 Sep 2005	Other	5506100
Penelope Jane Biggs	Director	1 Jan 2006	Other	5506099
Jane Bronwyn Karpinski	Financial controller	1 Feb 2006	Other	5119060
Richard Edward Bartholomew	Director	1 Apr 2006	Other	5138530
Northern Trust Management Services Limited	Shareholder	1 Dec 2006	75% - 100%	4794949
William T Huffman	Ceo	1 Feb 2007	Other	4367634
Philip Dale Hausken	Chief compliance officer	1 Apr 2007	Other	2542912
Shariffa Shakila Syed Mubarak	Chief compliance officer	1 Aug 2007	Other	5414072
Wayne George Bowers	Chief executive officer	1 Jan 2008	Other	5506181
Paula Mary Kenee	Chief operating officer	1 Jan 2008	Other	4770304
Kai Leifert	Chief compliance officer	1 Apr 2010	Other	5414072
John Krieg	Director	1 Jun 2010	Other	5902175
Wilson Leech	Director	1 Dec 2010	Other	5902173
Samuel Stephen Stewart	Chief compliance officer	1 Aug 2011	Other	4519722
David Marlborough	Director	1 Mar 2013	Other	6317558
Duane Rocheleau	Chief financial officer	1 Jul 2013	Other	6317556
Bimal Shah	Chief compliance officer	1 Oct 2013	Other	6317553
Eleanor Carmel Fitzgerald	Chief operating officer	1 Feb 2014	Other	6468184
John Ronald Davie	Chief financial officer	1 Apr 2014	Other	6468232
Andrew Robert Clayton	Director	1 Jul 2014	Other	6468235
Hazel Mary Mcneilage	Director	1 Oct 2015	Other	6628236
Martha Fee	Chief operating officer	1 Oct 2017	Other	0733980

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
The Northern Trust Company	Shareholder	1 May 2000	75% - 100%	36-1561860
Northern Trust Corporation	Shareholder	1 May 2000	75% - 100%	36-2723087
Northern International Banking Corporation	Shareholder	1 Dec 2006	75% - 100%	13-2607193

Based in London

The principal office where Northern Trust Global Investments Ltd performs its advisory services is located at 50 Bank Street, London, E145 Nt, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 0044-(0)207-982-2000 or by fax 0044-(0)207-982-5443. The normal business hours are 9:00am to 5:00pm gmt on Monday - Friday. You can find more information about the New York firm at northerntrust.com.