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.

SEC-registered adviser

Mesirow Financial Investment Management, Inc.

Wealth manager with institutional or fund businessChicago, IllinoisCRD 111135SEC 801-27047website IAPD

Latest filing Jul 7, 2026

First filing on the tape Nov 11, 2011 · 112 filings

SEC status approved since May 15, 1986

RAUM

$50B

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

26%

$13B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$548M

derived; firm RAUM over IAPD count

Employees

161

116 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

112 filings and snapshots on the tape

RAUM$50B as of Jul 7, 2026

Jun 27, 2012$8.7B then

HNW client RAUM$13B as of Jul 7, 2026

Jun 28, 2018$5.4M then

State-registered IARs (5.B.3)82 as of Jul 7, 2026

Jun 27, 2013102 then

Employees (5.A)161 as of Jul 7, 2026

Jun 27, 2013146 then

Private funds6 as of Jul 7, 2026

Jun 27, 201213 then

RAUM +12% over the last fiscal year+5.2% a year over threeIARs 99 to 82offices 10 to 11

Practice profile

derived from the filing of Jul 7, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

RAUM per advisor: $548MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 153derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $924,119derivedHNW RAUM over HNW clients
Average account: $558,620derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 7.7derived12 offices incl. principal (1.F.5)
RAUM growth, one year: -3.9%derivedbetween the last two annual amendments
Advisor growth, one year: -7.1%derivedItem 5.B.3 between annual amendments
Client growth, one year: +8.7%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients: 2,500reportedItem 5.H
Custody: $7.3B, 4,705 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

has discretionary authority over which securities are bought or sold (8.C.1)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pension and profit-sharing plans$34B68%
High-net-worth individuals$13B26%
Pooled investment vehicles$2.9B5.7%
Corporations and businesses$103M0.2%
Charitable organizations$62.7M0.1%
Individuals$3.6M0.0%

Individual clients: 16reported
HNW clients: 14,040reported
Pension plan clients: 76,209reported
Charitable clients: 10reported
Accounts: 90,291reported
Financial planning clients: 2,500reported
Wrap fee programs: noreported
Custody of client assets: $7.3B for 4,705 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.26 fund_share=0.06 institutional_share=0.68 related_bd=true related_bank=true bd_reps=101.0derived

Advisors registered through the firm

92 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Jennifer Eve Rosenblum	Highland Park, Il	Aug 26, 1998	31 y	0
Timothy Glen Ewing	Chicago, Il	Jan 23, 2003	29 y	1
David Ross Engle	Highland Park, Il	Jun 16, 2004	23 y	1
Luis Ricardo Villarejo	San Juan, Pr	Mar 23, 2005	38 y	2
Alan Howard Abramson	Highland Park, Il	Mar 20, 2006	32 y	0
Paul Henry Blumberg	Highland Park, Il	Mar 20, 2006	43 y	0
Richard H Korengold	Highland Park, Il	Mar 21, 2006	38 y	0
William Anthony Maniscalco	Highland Park, Il	Mar 21, 2006	34 y	0
Steven Nathan Mesirow	Highland Park, Il	Mar 21, 2006	34 y	0
Brock Carl Lamarca	Ellison Bay, Wi	Mar 22, 2006	39 y	0
Brian Joel Shevitz	Highland Park, Il	Mar 22, 2006	32 y	0
William Allan Robbins	Highland Park, Il	Mar 22, 2006	33 y	0
Christopher Mark O'NeillCertified Financial Planner, Chartered Financial Consultant	Austin, Tx	Mar 28, 2006	23 y	1
Shauna Nicole Kelly-Moran	Chicago, Il	Sep 14, 2006	22 y	0
Michael Kim Bryan	Chicago, Il	Sep 15, 2006	33 y	0
Joseph Michael Scanlon	Chicago, Il	Sep 28, 2006	45 y	0
Norman David Schlismann	Chicago, Il	Sep 28, 2006	46 y	0
Steven Mark Perlman	Highland Park, Il	Sep 28, 2006	33 y	0
Lee Michael Gordon	Highland Park, Il	Sep 28, 2006	39 y	0
Lawrence Michael Cohen	Whitefish, Mt	Nov 2, 2006	40 y	0
Jordan Bradley Scher	Chicago, Il	Dec 11, 2006	29 y	0
David Scott Israel	Highland Park, Il	Dec 11, 2006	27 y	0
Adam Scott Goldman	Highland Park, Il	Dec 12, 2006	40 y	0
Robert Francis Martin	Highland Park, Il	Jun 30, 2008	21 y	2
Cheryl L. Cabanski	Highland Park, Il	Dec 1, 2008	24 y	1
Andrew Michael Pataky	Chicago, Il	Jan 12, 2009	23 y	1
Daniel Charles Kaspari	Highland Park, Il	Jun 9, 2009	26 y	0
Laurel Jean Rettig	Highland Park, Il	Oct 9, 2009	18 y	0
Marla Denise Bernard	Chicago, Il	Jan 4, 2010	26 y	0
Sandra Lee Lackhouse	Chicago, Il	Jan 4, 2010	40 y	0
Michael Alan Adamski	Chicago, Il	Jan 4, 2010	17 y	0
Clint Matthew FyffeCertified Financial Planner	Highland Park, Il	Jul 7, 2010	19 y	0
Brandon Lee Kerndt	Highland Park, Il	Jul 12, 2010	29 y	1
Brian Jared Lorber	Chicago, Il	Jul 27, 2010	16 y	0
Thomas Francis Hynes	Chicago, Il	Nov 10, 2010	34 y	4
Gabriel Zynstein Korach	Highland Park, Il	Apr 5, 2011	15 y	0
Mary Jo Moon Hayes	Chicago, Il	May 17, 2011	32 y	1
Michael Edward AnninChartered Financial Analyst	Austin, Tx	Dec 11, 2013	25 y	2
Lavanya Batchu	Chicago, Il	Jan 1, 2014	17 y	0
Wenli Tan	Austin, Tx	Apr 4, 2014	17 y	0

All 92 advisors at Mesirow Financial Investment Management, Inc.

Advisor movement

2 left, 3 joined in 12 months

net +1 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 2.2% of current headcount15 left over 36 months

Left, latest

Kirsten Nicole Frosch to Assetmark, Inc.
Jun 23, 2026 · RIA to affiliated broker-dealer or bank
Patrick Coffey to Calamos Advisors LLC
Dec 17, 2025 · Other
Kevin Crouch to Morgan Stanley
Mar 18, 2025 · RIA to wirehouse
Kevin Walter Quinn to Capital Client Group, Inc.
Aug 9, 2024 · Other
David H. Dermenjian to Creative Planning
Oct 2, 2023 · Other
Kevin Lynn Babb to Creative Planning
Sep 29, 2023 · Other
Christopher John Pohlman to Creative Planning
Sep 29, 2023 · Other
Ryan Randall Block to Creative Planning
Sep 29, 2023 · Other
Thomas Francis Enright to Creative Planning
Sep 29, 2023 · Other
Jennifer Marie Friedman to Creative Planning
Sep 29, 2023 · Other
Charles Boyles Lawless to Creative Planning
Sep 29, 2023 · Other
Ernest Joseph Talarico to Creative Planning
Sep 29, 2023 · Other
Thomas Andrew Panoplos to Creative Planning
Sep 29, 2023 · Other
Vincent Anthony Allegra to Creative Planning
Sep 29, 2023 · Other
Rita Mary Latnhotha to Creative Planning
Sep 29, 2023 · Other

Joined, latest

Alfred Slatten Bryant from Corient
Sep 11, 2026 · RIA to RIA
Kimberly B Petricca from Alera Investment Advisors, LLC
Jul 27, 2026 · RIA to RIA
Rachel Markle from Raymond James & Associates, Inc.
Jan 6, 2026 · Affiliated broker-dealer or bank to independent RIA
Ashley Elizabeth Crotwell from Sequoia Financial Group, L.L.C.
Jan 24, 2025 · RIA to RIA
Gary Kevin Pattengale from Corient
Jan 3, 2025 · RIA to RIA
Nancy Zehr from Naples Wealth Planning
Aug 19, 2024 · RIA to RIA
Craig Daniel Price from Naples Wealth Planning
Aug 19, 2024 · RIA to RIA
James Anthony Valentino from Osaic Wealth, Inc.
Jul 9, 2024 · Affiliated broker-dealer or bank to independent RIA
Patrick Coffey from Morgan Stanley
Feb 21, 2024 · Other
Marshall B Front from Front Barnett Associates LLC
Oct 2, 2023 · Other
Michael R Macmillan from Front Barnett Associates LLC
Oct 2, 2023 · Other
Jared Kirschenbaum from Oppenheimer & Co. Inc.
Sep 28, 2023 · Other
Nicholas Anthony Moriarty from Mariner
Sep 13, 2023 · Other
Alejandro Gonzalez from Bankers Life Advisory Services, Inc.
Jul 19, 2023 · Other
Lisa Norcia-Appelbaum from Morgan Stanley
Jun 8, 2023 · Wirehouse to independent RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

11 left for Creative Planning
Sep 29, 2023 · Chicago, Il
2 left for Raymond James & Associates, Inc.
May 30, 2019 · Highland Park, Il

2 joined from Naples Wealth Planning
Sep 18, 2024 · Bonita Springs, Fl
2 joined from Front Barnett Associates LLC
Dec 4, 2023 · Chicago, Il
3 joined from LPL Financial LLC
Sep 8, 2020 · Chicago, Il

Teams out Teams in

Private funds

20 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Mesirow Financial Real Estate Value Fund IV, L.P.	Real Estate Fund	$1.8B	32	Jun 26, 2019
Mesirow Financial Real Estate Value Fund III, L.P.	Real Estate Fund	$1.0B	41	Jun 28, 2018
Mesirow Financial Real Estate Value Fund L.P.no longer reported	Real Estate Fund	$296M	10	Mar 26, 2012
Mesirow Financial Real Estate Value Fund II, L.P.no longer reported	Real Estate Fund	$235M	35	Jun 28, 2018
Mesirow Floating Rate Fund I, L.P.no longer reported	Other Private Fund	$137M	7	Jun 25, 2021
Wealth Advisors Feeder Fund I, L.P.	Other Private Fund	$66.9M	98	Jun 26, 2019
Mesirow Financial Investment Fund (Cayman) Ltd -G2no longer reported	Hedge Fund	$29.1M	1	Mar 26, 2012
Mesirow Financial Employee Real Estate Value Fund IV, L.P.	Real Estate Fund	$10.3M	27	Jun 26, 2019
Mesirow Real Estate Value Fund IV Feeder, L.P.	Other Private Fund	$8.1M	39	Jun 25, 2021
Mesirow Financial Small Cap Value Equity Fund, L.P.no longer reported	Hedge Fund	$7.0M	6	Mar 26, 2012
Mesirow Financial Employee Real Estate Value Fund III, L.P.	Real Estate Fund	$6.4M	29	Jun 28, 2018
Mesirow Financial Micro Cap Value Equity Fund, L.P.no longer reported	Hedge Fund	$6.1M	6	Mar 26, 2012
Mesirow Financial Smid Cap Value Equity Fund, L.P.no longer reported	Hedge Fund	$1.7M	5	Mar 26, 2012
Mesirow Financial Employee Real Estate Value Fund II, L.P.no longer reported	Real Estate Fund	$1.6M	21	Jun 28, 2018
Mesirow Financial Large Cap Value Equity Fund, L.P.no longer reported	Hedge Fund	$1.4M	3	Mar 26, 2012
Mesirow Financial Mid Cap Value Equity Fund, L.P.no longer reported	Hedge Fund	$378,639	2	Mar 26, 2012
Mfire U.S. Partnership Fund II, L.P.no longer reported	Other Private Fund	$0	0	Mar 26, 2012
Mfire International Partnership Fund II, L.P.no longer reported	Other Private Fund	$0	0	Mar 26, 2012
Mesirow Financial Real Estate Value Fund, L.P.no longer reported	Real Estate Fund	$0	19	Jun 28, 2018
Mesirow Financial Employee Real Estate Value Fund, L.P.no longer reported	Real Estate Fund	$0	14	Jun 28, 2018

Owners and control persons

Schedule A and B, latest filing

Natalie Brown · President/Ceocontrol
since 05/2021 · owns less than 5%
Robert Alasdair Cripps · Real Estate Direct Investments Investment Officercontrol
since 06/2010 · owns less than 5%
Moon Mary Jo Hayes · Chief Compliance Officercontrol
since 04/2021 · owns less than 5%
Patrick Joseph Hoffman · Currency Management Department, Presidentcontrol
since 08/2017 · owns less than 5%
Joseph Jesse Keig · Chief Financial Officer/Directorcontrol
since 06/2021 · owns less than 5%
Scott Richard Price · Director/Executive Chairman/Ceocontrol
since 03/2011 · owns less than 5%
James Shields · Chief Compliance Officercontrol
since 04/2026 · owns less than 5%
Edward Michael Annin · Fiduciary Solutions Department, President
since 04/2021 · owns less than 5%
Michael Lee Gordon · Wealth Management Department, Chairman
since 04/2019 · owns less than 5%
Wolfgang Peter Hegel · Senior Managing Director
since 08/2016 · owns less than 5%
Michael Jeffrey Levine · Director
since 12/2008 · owns less than 5%
David Brian Price · Head Of Advisory Services
since 11/2022 · owns less than 5%
Charles Steven Swierczewski · Senior Managing Director, Global Investment Management Division
since 04/2023 · owns less than 5%

Entity owners

Mesirow Financial Services, · Owner
direct · owns 75% or more
Mesirow Financial Services, Inc. · Owner
direct · owns 75% or more
Mesirow Financial Holdings, Inc. · Owner
indirect · owns 75% or more of Mesirow Financial Services, Inc.

Related persons

Schedule D 7.A

Mesirow Advanced Strategies Inc
investment adviserpooled vehicle sponsorn
Mesirow Financial Private Equity Advisors, Inc.
investment advisernRAUM $6.9B
Mesirow Financial Private Equity Vii Gp, L.P.
n
Mesirow Financial Private Equity Viii Gp, L.P.
n
Mesirow Financial Real Estate Value Fund IV, L.P.
n
Mesirow Financial Revf II-Gp, LLC
pooled vehicle sponsorn
Mesirow Financial Revf III-Gp, LLC
pooled vehicle sponsorn
Mesirow Financial Revf IV-Gp, LLC
pooled vehicle sponsorn
Mesirow Financial Services, Inc.
n
Mesirow Financial, Inc.
broker-dealern
Mesirow Frf I - Gp, LLC
pooled vehicle sponsorn
Mesirow Institutional Investment Management, Inc.
investment advisern
Mesirow Pef Viii-B Feeder-Gp, LLC
n
Mesirow Re-Ia, Inc.
investment advisernRAUM $2.6B
Mesirow Revf IV Feeder - Gp, LLC
pooled vehicle sponsorn
Mesirow Revf V-Gp, LLC
pooled vehicle sponsorn

Advisers that list Mesirow Financial Investment Management, Inc. as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Chicago, Il · principal	67	7	2
Highland Park, Il	29	4	0
Stuart, Fl	3	0	0

Offices

Schedule D 1.F, the 25 largest

Highland Park, IL30 employees
Manahattan Beach, CA2 employees
Stuart, FL2 employees
Seattle, WA1 employees
, 1 employees

ADV anomalies

5 against comparable advisers; where to look, not conclusions

high institutional concentrationStatic outlier · filing Jul 7, 2026
institutional share of RAUM of 68% against a peer median of 7% (84 comparable advisers, 99.0th percentile, 7.9 robust deviations)
peers: independent wealth managers, $20B and over (84) · 99% percentile
control person changedChange between filings · filing Jul 7, 2026
SHIELDS, JAMES (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-10-02 and 2026-07-07
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Jul 7, 2026
HAYES, MARY JO, MOON (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-10-02 and 2026-07-07
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Jul 7, 2026
Brown, Natalie (DIRECTOR) left Schedule A between the filings of 2023-10-02 and 2026-07-07
peers: independent wealth managers, $20B and over (84)
HNW share shiftChange between filings · filing Apr 1, 2026
HNW share of RAUM moved from 2.0% to 27.0% between the annual amendments of 2025-03-31 and 2026-04-01
peers: independent wealth managers, $20B and over (84)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 14,109 to 90,291
Apr 1, 2026 to Jun 24, 2026
Advisory employees · 99 to 116
Apr 1, 2026 to Jun 24, 2026
BD registered reps · 83 to 101
Apr 1, 2026 to Jun 24, 2026
Charity clients · 9 to 10
Apr 1, 2026 to Jun 24, 2026
Corporate clients · 27 to 11
Apr 1, 2026 to Jun 24, 2026
HNW clients · 14,039 to 14,040
Apr 1, 2026 to Jun 24, 2026
Individual clients · 15 to 16
Apr 1, 2026 to Jun 24, 2026
Pension plan clients · 1 to 76,209
Apr 1, 2026 to Jun 24, 2026
Pooled vehicle clients · 7 to 5
Apr 1, 2026 to Jun 24, 2026
Assets in custody · $3.2B to $7.3B
Apr 1, 2026 to Jun 24, 2026
Employees · 197 to 161
Apr 1, 2026 to Jun 24, 2026
Insurance-licensed employees · 3 to 0
Apr 1, 2026 to Jun 24, 2026
State-registered IARs · 92 to 82
Apr 1, 2026 to Jun 24, 2026
Private funds · 8 to 6
Apr 1, 2026 to Jun 24, 2026
Discretionary RAUM · $42B to $49B
Apr 1, 2026 to Jun 24, 2026
HNW RAUM · $12B to $13B
Apr 1, 2026 to Jun 24, 2026
Individual RAUM · $3.8M to $3.6M
Apr 1, 2026 to Jun 24, 2026
Non-discretionary RAUM · $1.2B to $1.2B
Apr 1, 2026 to Jun 24, 2026
Pension RAUM · $2.7M to $34B
Apr 1, 2026 to Jun 24, 2026
Pooled vehicle RAUM · $3.2B to $2.9B
Apr 1, 2026 to Jun 24, 2026
RAUM · $43B to $50B
Apr 1, 2026 to Jun 24, 2026
Assets in custody · $1.6B to $3.2B
Jun 24, 2025 to Oct 1, 2025
Accounts · 13,396 to 14,109
Mar 31, 2025 to Jun 24, 2025
Advisory activities · 7 to 5
Mar 31, 2025 to Jun 24, 2025
BD registered reps · 82 to 83
Mar 31, 2025 to Jun 24, 2025
Charity clients · 23 to 9
Mar 31, 2025 to Jun 24, 2025
Corporate clients · 38 to 27
Mar 31, 2025 to Jun 24, 2025
HNW clients · 278 to 14,039
Mar 31, 2025 to Jun 24, 2025
Individual clients · 12,646 to 15
Mar 31, 2025 to Jun 24, 2025
Pension plan clients · 24 to 1
Mar 31, 2025 to Jun 24, 2025
Pooled vehicle clients · 10 to 7
Mar 31, 2025 to Jun 24, 2025
Assets in custody · $3.2B to $1.6B
Mar 31, 2025 to Jun 24, 2025
Employees · 185 to 197
Mar 31, 2025 to Jun 24, 2025
Insurance-licensed employees · 12 to 3
Mar 31, 2025 to Jun 24, 2025
Financial planning clients · More than 500 to More than 500
Mar 31, 2025 to Jun 24, 2025
State-registered IARs · 99 to 92
Mar 31, 2025 to Jun 24, 2025
Other offices · 10 to 11
Mar 31, 2025 to Jun 24, 2025
Discretionary RAUM · $44B to $42B
Mar 31, 2025 to Jun 24, 2025
HNW RAUM · $1.1B to $12B
Mar 31, 2025 to Jun 24, 2025
Individual RAUM · $9.4B to $3.8M
Mar 31, 2025 to Jun 24, 2025

Signals

33 dated events

Kirsten Nicole Frosch left Mesirow Financial Investment Management, Inc. for Assetmark, Inc. (registered 2026-07-09)
Jun 23, 2026 · Advisor changed firm · fact
Patrick Coffey left Mesirow Financial Investment Management, Inc. for Calamos Advisors Llc (registered 2025-12-22)
Dec 17, 2025 · Advisor changed firm · fact
Kevin Crouch left Mesirow Financial Investment Management, Inc. for Morgan Stanley (registered 2024-12-13)
Mar 18, 2025 · Advisor changed firm · fact
Eugene Robert Sydow (Senior Managing Director; Chief Investment Officer) no longer on Schedule A of Mesirow Financial Investment Management, Inc. (listed 2024-11-20, absent 2024-12-05)
Dec 5, 2024 · Control person left · inference
2 advisors left Naples Wealth Planning (Bonita Springs, FL) for Mesirow Financial Investment Management, Inc. on the same day
Sep 18, 2024 · Team lift-out · derived
Kevin Walter Quinn left Mesirow Financial Investment Management, Inc. for Capital Client Group, Inc. (registered 2024-08-14)
Aug 9, 2024 · Advisor changed firm · fact
2 advisors left Front Barnett Associates LLC (Chicago, IL) for Mesirow Financial Investment Management, Inc. on the same day
Dec 4, 2023 · Team lift-out · derived
David H. Dermenjian left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-10)
Oct 2, 2023 · Advisor changed firm · fact
Charles Boyles Lawless left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-10)
Sep 29, 2023 · Advisor changed firm · fact
Thomas Francis Enright left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-03)
Sep 29, 2023 · Advisor changed firm · fact
Jennifer Marie Friedman left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-04)
Sep 29, 2023 · Advisor changed firm · fact
Kevin Lynn Babb left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-04)
Sep 29, 2023 · Advisor changed firm · fact
Thomas Andrew Panoplos left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-06)
Sep 29, 2023 · Advisor changed firm · fact
Ernest Joseph Talarico left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-12)
Sep 29, 2023 · Advisor changed firm · fact
Christopher John Pohlman left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-09)
Sep 29, 2023 · Advisor changed firm · fact
Ryan Randall Block left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-03)
Sep 29, 2023 · Advisor changed firm · fact
Vincent Anthony Allegra left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-03)
Sep 29, 2023 · Advisor changed firm · fact
Rita Mary Latnhotha left Mesirow Financial Investment Management, Inc. for Creative Planning (registered 2023-10-09)
Sep 29, 2023 · Advisor changed firm · fact
11 advisors left Mesirow Financial Investment Management, Inc. (Chicago, IL) for Creative Planning within 3 days
Sep 29, 2023 · Team lift-out · derived
Ann Kathryn Vorisek (Senior Managing Director) no longer on Schedule A of Mesirow Financial Investment Management, Inc. (listed 2023-04-11, absent 2023-06-27)
Jun 27, 2023 · Control person left · inference
Chad Alan Schroeder left Mesirow Financial Investment Management, Inc. for Eaton Vance Management (registered 2022-10-20)
Jul 19, 2022 · Advisor changed firm · fact
Mesirow Financial Investment Management, Inc. reported 13 offices beyond its principal office, up from 7 (2022-03-04 to 2022-06-27)
Jun 27, 2022 · Office count change · derived
Mesirow Financial Investment Management, Inc. reported 100 state-registered advisory representatives, up from 80 (2022-03-04 to 2022-06-27)
Jun 27, 2022 · Advisor headcount change · derived
Simrin Kaur Dhillon left Mesirow Financial Investment Management, Inc. for Thrivent Investment Management Inc. (registered 2022-09-02)
Jun 10, 2022 · Advisor changed firm · fact
Bradley Alan Rist left Mesirow Financial Investment Management, Inc. for Lpl Financial Llc (registered 2023-06-16)
May 3, 2022 · Advisor changed firm · fact
Zackary Graham Meuser left Mesirow Financial Investment Management, Inc. for Vivaldi Capital Management Lp (registered 2021-12-20)
Jan 4, 2022 · Advisor changed firm · fact
Mesirow Financial Investment Management, Inc. reported RAUM $41.0B, up 54% from $26.7B (2021-06-10 to 2021-06-25)
Jun 25, 2021 · RAUM change · derived
Joseph Jesse Keig (Chief Financial Officer) appeared on Schedule A of Mesirow Financial Investment Management, Inc.
Jun 25, 2021 · Control person joined · fact
Moon Mary Jo Hayes (Chief Compliance Officer) appeared on Schedule A of Mesirow Financial Investment Management, Inc.
Apr 14, 2021 · Control person joined · fact
B Dennis Black (Director) no longer on Schedule A of Mesirow Financial Investment Management, Inc. (listed 2021-01-13, absent 2021-02-25)
Feb 25, 2021 · Control person left · inference

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: alasdair.cripps@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: brian.gant@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ben.blakney@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: john.pierson@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: justin.maturo@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: keith.gustafson@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kevin.price@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: lori.rodriguezcasey@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: rafique.khan@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: tracey.ungaretta@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: will.beam@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: david.cohen@mesirow.comreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $548Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Mesirow Financial Investment Management, Inc. is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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