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Financial Intermediary
Learn about asset management solutions designed for Retirement Plan Advisors, TAMPs/Outsourcing Providers, Subadvisory Program Sponsors, RIAs/Financial Advisors and Trust Institutions.
Learn about asset management solutions including: global index management, active equity and fixed income, target retirement date funds, and manager of manager programs.
Get answers to your investment challenges with asset management capabilities including alternatives, exchange traded funds, fixed income, mutual funds and tax-advantaged equity.
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Corporate Executive


Address your objectives with our proven strategies

Solutions for Corporate ExecutivesNorthern Trust’s financial professionals can help corporate executives address cash flow and liquidity needs, single stock concentration, retirement planning, insurance and risk management; provide sophisticated investment management solutions to diversify your portfolio; develop a tax-advantaged wealth transfer plan and help assist you in answering your concerns about your financial future.

We understand that your career affords you little time for managing your finances. At Northern Trust, we can work with you to navigate the intricate compensation packages and personal financial issues specific to senior corporate executives, putting an integrated financial plan in place that is designed to help meet your needs today, and well into the future.

The Situation

Just five years from retirement, our clients, both senior executives, faced some pretty weighty issues. Both husband and wife owned a great deal of stock in their respective companies. The stock concentration put them at risk, and the time had come to diversify. They were also interested in sitting down with an expert on retirement and estate planning.

Customized, integrated solutions

Working with us, the couple was able to clarify and prioritize their goals and gain a detailed understanding of their compensation, benefits and overall personal financial picture. Using this information, we developed a wealth plan intended to:

  • Maximize their corporate benefits while minimizing tax implications
  • Address their single-stock exposure and divest these concentrated holdings in a tax-advantaged manner
  • Use some of the proceeds to implement a customized asset allocation strategy designed to meet their long-term retirement income requirements
  • Fund a tax-efficient charitable trust using low-basis company stock and working with Northern Trust’s philanthropic services team
Northern Trust was able to offer the clients an integrated experience by bringing together multi-disciplined specialists who understood their goals, developed an appropriate plan and customized solutions. In addition, we collaborated with the couple’s external advisors to help implement and manage their plan.