Transition Management

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Transition Management

Manage cost, contain risk, maintain valueMinimize the direct or indirect costs associated with the purchase or sale of securities.  
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To help you manage cost and risk when restructuring your investment portfolio, the Northern Trust team consults with you to create and execute a customized strategy. With experience and expertise gained since 1987, we offer you a distinctive and disciplined approach to transition management in all asset classes including: equities, fixed income, and derivatives.

Our Services:
  • Setting Transition Objectives – We consult with you to understand the context and objectives of your transition: overall allocation, benchmark and manager changes, timing concerns, and risk restrictions
  • Pre-Trade Analysis – The transition team completes a detailed analysis of the transition portfolios to identify risk characteristics, liquidity sources, projected costs and potential savings.  You receive a customized timeline, trading strategy, and cost projection
  • Trading and Settlement – The transition team will coordinate all aspects of your transition including legal documentation, trading, and settlement.  You receive daily progress reports as well as timely trade and performance data
  • Post-Trade Analysis – Clients receive detailed descriptions of key results: actual costs vs. pre-trade estimates, performance vs. various benchmarks, analytics of trade execution strategies, and an executive summary giving a high level overview of the assignment
Our Advantages:

Service: Provided at the Highest Level
  • Customized strategy and approach tailored to each event
  • Attention to detail with meticulous project management
  • Follow through including proxy voting and monitoring of cash balances
Expertise: Excellence in Risk Management
  • Building pro-active, risk-managed strategies
  • Outperformed the pre-trade estimate for 94% of transitions executed over the past 6 years
Integrity: Aligning Our Business Model with Your Interests
  • Act as fiduciary and under ERISA where applicable
  • We do not:
  • Advertise transition trading activities to find crossing opportunities
  • Cross with hedge funds
  • Take on principal positions against our clients
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Investment Products and Services are:

Not FDIC INSURED, May lose value, No bank Guarantee
1Investment advisory services are offered by Northern Trust Investments, N.A., an investment advisor registered with the U.S. Securities and Exchange Commission and subsidiary of Northern Trust Corporation.
2An investment advisor typically is deemed a fiduciary under the Employee Retirement Income Securities Act of 1974 and must act with strict honesty and candor solely in the interest of the participants of the plan.
3Securities products and services including brokerage activities are offered and sold by Northern Trust Securities, Inc. (member FINRA (FINRA)/SIPC), a subsidiary of Northern Trust Corporation.
© 2016 Northern Trust Corporation
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