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RIA / WealthAdvisor28 years in industry

ADAM B FAUST

Advisor at DEEP BLUE FINANCIAL LLC

NORTHBROOK, IL

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Search this name across graphsid dfx:ria:61bedeee-0bb9-b8dd-3e3d-c0f62cacfe44

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 13, 2002 to Sep 14, 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: DEEP BLUE FINANCIAL LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 23, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Dec 23, 1997
First registration: Nov 13, 2002
Dual registered: no
Other names: ADAM BENJAMIN FAUST
IAPD individual key: 2972403

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
DEEP BLUE FINANCIAL LLC	State registered	Feb 20, 2014	n/a	yes	NORTHBROOK, IL	Current employment
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	Mixed wealth	Jan 4, 2010	Feb 4, 2014	no	HIGHLAND PARK, IL\|CHICAGO, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 21, 2005	Jan 15, 2010	no	DALLAS, TX\|Northbrook, IL\|Dallas, TX	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 16, 2002	Sep 10, 2004	no	DALLAS, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 13, 2002	Dec 17, 2002	no	ADDISON, TX	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
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	DEEP BLUE FINANCIAL LLC	Feb 4, 2014	Feb 20, 2014	16	Firm change	Other
CHARLES SCHWAB & CO., INC.	MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	Jan 15, 2010	Jan 4, 2010	-11	Firm change	Other
RBC CAPITAL MARKETS, LLC	CHARLES SCHWAB & CO., INC.	Sep 10, 2004	Oct 21, 2005	406	Firm change after gap	Ibd to ibd
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	Dec 17, 2002	Dec 16, 2002	-1	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ DEEP BLUE FINANCIAL LLCRegistered adviserregistration: current employment
Feb 20, 2014 to presentfactForm ADV
→ MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 4, 2010 to Feb 4, 2014factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 21, 2005 to Jan 15, 2010factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Dec 16, 2002 to Sep 10, 2004factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 13, 2002 to Dec 17, 2002factForm ADV

Dated events

No dated event names this entity yet.