The Northern Trust Company Of Connecticut (Stamford)


The Northern Trust Company Of Connecticut is a large advisory firm based in Stamford. It manages $36.6 billion of regulatory assets for 119 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Connecticut and Illinois.

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

The Northern Trust Company Of Connecticut: assets under management

The assets under management (AUM) of The Northern Trust Company Of Connecticut is $36.6 billion. The firm's AUM has grown by 190% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $33.89 billion in discretionary accounts and $2.71 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $299.92 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $451.72 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Northern Trust Company Of Connecticut for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at The Northern Trust Company Of Connecticut

William Lind Morrison has been acting as President since 1 Jul 2009. Andrew C. Smith has served as the Chief Investment Officer since 1 Sep 2005. Sheri B Hawkins joined the executive team most recently as the Senior Vice President/ Chief Financial Officer.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Northern Trust Global Advisors Inc Sole shareholder 1 Oct 1995 75% - 100% 110464
Northern Trust Global Advisors Inc Owner 1 Nov 1997 75% - 100% 110464
Joseph Mcinerney Chief operating officer 1 Apr 2005 Other 5037147
Joseph Wallace Mcinerney Chief operating officer 1 Apr 2005 Other 5037147
Andrew C. Smith Chief investment officer 1 Sep 2005 Other 5037149
Andrew Sainty Campbell Smith Chief investment officer 1 Sep 2005 Other 5037149
Alan W Robertson Chairman, ceo & president 1 Aug 2007 Other 1796634
Alan W. Robertson Chairman, ceo & president 1 Aug 2007 Other 1796634
Susan Jean Hill Chief compliance officer 1 Dec 2007 Other 2231154
Carl P. Beckman Chief financial officer 1 Feb 2009 Other 4327185
Carl Preston Beckman Chief financial officer 1 Feb 2009 Other 4327185
William Lind Morrison Director 1 Jul 2009 Other 4939788
Jennifer Lynn Driscoll Director 1 Jul 2009 Other 5506988
Stephen Niles Potter Director 1 Jul 2009 Other 2729902
Stephen Aprea Hearty Director 1 Jul 2009 Other 5505991
James Meigs Rauh Director 1 Jul 2009 Other 371488
Joseph Wallace Mcinerney Ceo & president 1 Feb 2010 Other 5037147
Alan W. Robertson Chairman 1 Feb 2010 Other 1796634
Beth Marie Provanzana Chief financial officer 1 Feb 2010 Other 2368402
Charles George Mueller Director 1 Sep 2010 Other 4263683
Patrick William Herrington Chief operating officer 1 Jan 2011 Other 5891592
Stephen Bowman Director 1 Mar 2011 Other 5506100
Christopher Edward Vella Chief investment officer 1 Oct 2011 Other 4507313
Northern Trust Corporation Sole shareholder 1 Jan 2012 75% - 100% 36-2723087
Lloyd Arno Wennlund Director 1 Jun 2012 Other 1512907
Sheri B Hawkins Senior vice president/ chief financial officer 1 Jul 2013 Other 6277480

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Northern Trust Company Owner 1 Oct 1995 75% - 100% 36-1561860
Northern Trust Corporation Sole shareholder 1 Oct 1995 75% - 100% 36-2723087
Northern Trust Corporation Shareholder 1 Nov 2000 75% - 100% 36-2723087

Based in Stamford

The principal office where The Northern Trust Company Of Connecticut performs its advisory services is located at 300 Atlantic Street, Stamford, CT 06901 3522, which is also the mailing address of the firm. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-977-7000 or by fax 203-356-9341. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at northerntrust.com.