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

Nicholas Anthony Moriarty

Mesirow Financial Investment Management, Inc.mixed wealthEdina, Mn dual registrantIAPD 5953071

Feed of 09/15/2026

Also filed as Nicholas Anthony Moriarty-Maddio

At current firm

3 y

since Sep 13, 2023

In the industry

15 y

since Aug 12, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Mesirow Financial Investment Management, Inc. mixed wealth current
since Sep 13, 2023 · Edina, Mn
Mariner BD affiliated
Jan 11, 2023 to Aug 28, 2023 · Edina, Mn
Newedge Advisors BD affiliated
Nov 6, 2019 to Oct 7, 2022 · Edina, Mn
Wealth Enhancement Advisory Services, LLC BD affiliated
Sep 18, 2017 to Oct 28, 2019 · Plymouth, Mn
Ameriprise Financial Services, LLC national BD
Dec 22, 2015 to Sep 13, 2017 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

Mariner to Mesirow Financial Investment Management, Inc.
left Aug 28, 2023, registered Sep 13, 2023 (16 days) · Other
Newedge Advisors to Mariner
left Oct 7, 2022, registered Jan 11, 2023 (96 days) · Affiliated broker-dealer or bank to another
Wealth Enhancement Advisory Services, LLC to Newedge Advisors
left Oct 28, 2019, registered Nov 6, 2019 (9 days) · Affiliated broker-dealer or bank to independent RIA
Ameriprise Financial Services, LLC to Wealth Enhancement Advisory Services, LLC
left Sep 13, 2017, registered Sep 18, 2017 (5 days) · Other

Signals

Nicholas Anthony Moriarty left Mariner for Mesirow Financial Investment Management, Inc. (registered 2023-09-13)
Aug 28, 2023 · Advisor changed firm · fact
Nicholas Anthony Moriarty left Newedge Advisors for Mariner (registered 2023-01-11)
Oct 7, 2022 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address