DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Charles Kenneth Sherburne

Zacks Investment Management, Inc.mixed wealthChicago, Ildual registrantIAPD 2909063

Feed of 09/14/2026

Also filed as Chuck Sherburne

At current firm

9 y

since May 18, 2017

In the industry

29 y

since Jul 9, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Zacks Investment Management, Inc. mixed wealth current
since May 18, 2017 · Chicago, Il
Ameriprise Financial Services, LLC national BD
Mar 12, 2013 to Jan 6, 2017 · Burr Ridge, Il
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 23, 2009 to Oct 6, 2011 · Naperville, Il
Banc Of America Investment Services, Inc. unclassified
Oct 24, 2008 to Oct 23, 2009 · Naperville, Il
Lasalle Financial Services, Inc. unclassified
Jun 21, 2006 to Oct 24, 2008 · Chicago, Il
Nuveen Fund Advisors, LLC asset manager
Apr 5, 2002 to Apr 12, 2006 · Chicgao, Il

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to Zacks Investment Management, Inc.
left Jan 6, 2017, registered May 18, 2017 (132 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Ameriprise Financial Services, LLC
left Oct 6, 2011, registered Mar 12, 2013 (523 days) · Wirehouse to affiliated broker-dealer or bank
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Lasalle Financial Services, Inc. to Banc Of America Investment Services, Inc.
left Oct 24, 2008, registered Oct 24, 2008 (0 days) · corporate re-registration, not a move
Nuveen Fund Advisors, LLC to Lasalle Financial Services, Inc.
left Apr 12, 2006, registered Jun 21, 2006 (70 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wealth manager with institutional or fund businessderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address