Northern Trust Securities, INC
Northern Trust Securities, Inc. (NTSI) provides investment advisory services through managed account wrap fee programs. These programs are managed by NTSI, its affiliate Northern Trust Investments, Inc. (NTI), and unaffiliated third-party investment managers. NTSI offers three discretionary managed account wrap fee model programs: Separately Managed Accounts (SMAs), Fund Strategist Portfolios (FSPs), and Strategist UMAs. NTSI collaborates with clients to determine suitability for the Wrap Program and recommends a model based on their investor profile and investment objectives. NTSI also monitors the performance of the Wrap Program accounts.
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1.0M - $5.0M | 0.85% |
| $5M+ | 0.75% |
These fees apply to Fund Strategist Portfolio, Strategist UMA, Equity and Balanced SMA strategies. Manager fees are included in the total account fee and are subject to change without notice. Optional Tax and/or Overlay Services are assessed a fee on all assets in addition to the account asset management fee. Accounts employing both Tax Overlay Services and Impact Overlay Services will be charged only one overlay service fee. Overlay Service Fees: First $10Mil 0.10%, $10Mil - $25Mil 0.08%, Assets over $25Mil 0.05%