Cathy Cao
Cathy Cao is a CFA-designated registered investment advisor at Northern Trust Investments, Incorporated, based in Chicago, IL, with 3 years of industry experience. Cathy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Socially Responsible Investing. Their firm serves 41,027 clients with $1200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Maximum fee percentages vary by strategy, ranging up to 0.30% for passive equity, 0.45% for fixed income, 0.50% for multi-asset class, 0.65% for quantitative equity, 1.00% for third-party strategies, and 1.50% for tax advantaged long/short equity. Fees are generally negotiable.
Fee Estimator
Location
50 S Lasalle Street, Chicago, IL, 60603-1008
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Northern Trust Investments, Incorporated
Northern Trust Securities, INC.Broker
Northern Trust Securities, INC.
Previous Registrations
Northern Trust Securities, INC
State Registrations52 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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