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

Mark Kierna

Northern Trust Investments, Incorporatedasset managerChicago, Il dual registrantIAPD 5149248

Feed of 09/14/2026

Also filed as Mark Allen Kierna

At current firm

1 y

since Mar 5, 2025

In the industry

18 y

since Mar 4, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Northern Trust Investments, Incorporated asset manager current
since Mar 5, 2025 · Chicago, Il
Calamos Advisors LLC asset manager
Jun 16, 2023 to Mar 3, 2025 · Naperville, Il
Nuveen Asset Management, LLC mixed wealth
Sep 1, 2011 to Apr 11, 2023 · Chicago, Il
Nuveen Fund Advisors, LLC asset manager
Jan 20, 2011 to Sep 1, 2011 · Chicago, Il
Morgan Stanley wirehouse
Jun 1, 2009 to Dec 16, 2010 · Deerfield, Il
Citigroup Global Markets Inc. BD affiliated
Mar 10, 2008 to Jun 1, 2009 · Deerfield, Il

Moves

a registration end followed by a registration begin elsewhere

Calamos Advisors LLC to Northern Trust Investments, Incorporated
left Mar 3, 2025, registered Mar 5, 2025 (2 days) · Other
Nuveen Asset Management, LLC to Calamos Advisors LLC
left Apr 11, 2023, registered Jun 16, 2023 (66 days) · Other · moved with a team
Nuveen Fund Advisors, LLC to Nuveen Asset Management, LLC
left Sep 1, 2011, registered Sep 1, 2011 (0 days) · corporate re-registration, not a move
Morgan Stanley to Nuveen Fund Advisors, LLC
left Dec 16, 2010, registered Jan 20, 2011 (35 days) · Other
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

Mark Kierna left Calamos Advisors Llc for Northern Trust Investments, Incorporated (registered 2025-03-05)
Mar 3, 2025 · Advisor changed firm · fact
Mark Kierna left Nuveen Asset Management, Llc for Calamos Advisors Llc (registered 2023-06-16)
Apr 11, 2023 · Advisor changed firm · fact

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: Asset manager (funds and pooled vehicles)derived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address