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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

ERIC M FASSE

Advisor at NORTHERN TRUST SECURITIES, INC

Chicago, IL | CHICAGO, IL

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Search this name across graphsid dfx:ria:493f1fd4-712e-e2c6-9565-15e17cf29d82

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Feb 22, 2023 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHERN TRUST SECURITIES, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 27, 2022
First registration: Feb 22, 2023
Dual registered: yes, broker-dealer
Other names: Eric MIchael Fasse
IAPD individual key: 7358931

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHERN TRUST SECURITIES, INC	Bd affiliated wealth	Feb 2, 2026	n/a	yes	CHICAGO, IL\|Chicago, IL	Current employment
CABRERA CAPITAL PARTNERS	State registered	May 13, 2025	Jan 13, 2026	no	CHICAGO, IL	Previous registration
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC	Independent wealth	Jul 10, 2023	Jan 2, 2024	no	LISLE, IL	Previous registration
AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.	State registered	Feb 22, 2023	Jan 2, 2024	no	Chicago, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CABRERA CAPITAL PARTNERS	NORTHERN TRUST SECURITIES, INC	Jan 13, 2026	Feb 2, 2026	20	Firm change	Other
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC	CABRERA CAPITAL PARTNERS	Jan 2, 2024	May 13, 2025	497	Firm change after gap	Other
AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.	CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC	Jan 2, 2024	Jul 10, 2023	-176	Firm change after gap	Other

Relationships

Registered with (4)

→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: current employment
Feb 2, 2026 to presentfactForm ADV
→ CABRERA CAPITAL PARTNERSRegistered adviserregistration: previous registration
May 13, 2025 to Jan 13, 2026factForm ADV
→ CHICAGO CAPITAL MANAGEMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 10, 2023 to Jan 2, 2024factForm ADV
→ AMERICAN TRUST INVESTMENT SERVICES ADVISORY, INC.Registered adviserregistration: previous registration
Feb 22, 2023 to Jan 2, 2024factForm ADV

Dated events

Occurred
Jan 13, 2026
Advisor changed firm
Eric M Fasse left Cabrera Capital Partners for Northern Trust Securities, Inc (registered 2026-02-02)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2024
Advisor changed firm
Eric M Fasse left Chicago Capital Management Advisors, Llc for Cabrera Capital Partners (registered 2025-05-13)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2024
Advisor changed firm
Eric M Fasse left American Trust Investment Services Advisory, Inc. for Chicago Capital Management Advisors, Llc (registered 2023-07-10)
Form ADVobserved 4 days ago