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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Nicholas Anthony Moriarty

Advisor at MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

EDINA, MN | CHICAGO, IL

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Search this name across graphsid dfx:ria:7f9edd2c-ecdb-9901-7406-ceb8f11e33ae

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Dec 22, 2015 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: MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 12, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Aug 12, 2011
First registration: Dec 22, 2015
Dual registered: yes, broker-dealer
Other names: NICHOLAS ANTHONY MORIARTY-MADDIO|NICHOLAS MORIORTY-MADDIO|NICHOLAS ANTHONY MORIORTY-MADDIO|NICHOLAS ANTHONY MORIARTY|NICHOLAS ANTHONY MORIARTY-MADDIO|NICHOLAS ANTHONY MORIARTY MADDIO|Nicholas Moriarty
IAPD individual key: 5953071

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
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	Mixed wealth	Sep 13, 2023	n/a	yes	EDINA, MN\|CHICAGO, IL	Current employment
Mariner	Bd affiliated wealth	Jan 11, 2023	Aug 28, 2023	no	Edina, MN	Previous registration
NEWEDGE ADVISORS	Bd affiliated wealth	Nov 6, 2019	Oct 7, 2022	no	Edina, MN\|St. Louis Park, MN\|NEW ORLEANS, LA	Previous registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Sep 18, 2017	Oct 28, 2019	no	PLYMOUTH, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 22, 2015	Sep 13, 2017	no	SEATTLE, WA\|Edina, MN	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
Mariner	MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	Aug 28, 2023	Sep 13, 2023	16	Firm change	Other
NEWEDGE ADVISORS	Mariner	Oct 7, 2022	Jan 11, 2023	96	Firm change	Ibd to ibd
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	NEWEDGE ADVISORS	Oct 28, 2019	Nov 6, 2019	9	Firm change	Ibd to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Sep 13, 2017	Sep 18, 2017	5	Firm change	Other

Relationships

Registered with (5)

→ MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.Registered adviserregistration: current employment
Sep 13, 2023 to presentfactForm ADV
→ MARINERRegistered adviserregistration: previous registration
Jan 11, 2023 to Aug 28, 2023factForm ADV
→ NEWEDGE ADVISORSRegistered adviserregistration: previous registration
Nov 6, 2019 to Oct 7, 2022factForm ADV
→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Sep 18, 2017 to Oct 28, 2019factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 22, 2015 to Sep 13, 2017factForm ADV

Dated events

Occurred
Aug 28, 2023
Advisor changed firm
Nicholas Anthony Moriarty left Mariner for Mesirow Financial Investment Management, Inc. (registered 2023-09-13)
Form ADVobserved 5 days ago
Occurred
Oct 7, 2022
Advisor changed firm
Nicholas Anthony Moriarty left Newedge Advisors for Mariner (registered 2023-01-11)
Form ADVobserved 5 days ago