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.

Former SEC-registered adviser

Mesirow Financial Alternative Investments, LLC

Former SEC-registered adviserChicago, IllinoisCRD 158314SEC 801-72523IAPD
Latest filing Jun 16, 2016
First filing on the tape Nov 18, 2011 · 20 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Jun 16, 2016
Jun 28, 2012$21.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 16, 2016
Jun 28, 20120 then
Employees (5.A)4 as of Jun 16, 2016
Jun 25, 201324 then
Private funds6 as of Jun 23, 2015
Jun 28, 20125 then
RAUM -100% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 16, 2016; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Mfire Cayman, L.P.Other Private Fund$171M12Mar 26, 2012
      Agra Shares Fund I, LLCno longer reportedOther Private Fund$13.2M24Mar 23, 2012
      Agra Shares Fund III, LLCno longer reportedOther Private Fund$4.7M19Mar 23, 2012
      Mesirow Financial Global Currency Alpha Fund LLCno longer reportedOther Private Fund$4.4M3Sep 25, 2012
      Mesirow Financial Global Currency Alpha Master Fund Ltdno longer reportedOther Private Fund$4.4M3Mar 26, 2012
      Agra Shares Fund II, LLCno longer reportedOther Private Fund$3.1M9Mar 23, 2012
      Mfire Ipf Associates I, LLCOther Private Fund$466,8595Jun 27, 2013
      Mfire Dpf Associates I, LLCOther Private Fund$382,2664Jun 27, 2013
      Mesirow Financial Agriculture Management Fund IV, LPno longer reportedOther Private Fund$00Mar 23, 2012
      Mesirow Financial Global Currency Alpha Fund Ltdno longer reportedOther Private Fund$00Sep 25, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B Dennis Black · Senior Managing Director, Secretarycontrol
        since 06/2011 · owns less than 5%
      • Michael Jeffrey Levine · Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      • Paula Kristie Paskvan · Cfocontrol
        since 06/2011 · owns less than 5%
      • Scott Richard Price · Chairman & Ceocontrol
        since 06/2011 · owns less than 5%
      Entity owners
      • Mesirow Financial Services, Inc. · Sole Member
        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
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 48 to 0
        Jul 30, 2015 to Jun 16, 2016
      • Assets in custody · 388450077.0 to unset
        Jul 30, 2015 to Jun 16, 2016
      • Custody of client assets · true to false
        Jul 30, 2015 to Jun 16, 2016
      • Discretionary RAUM · $370M to $0
        Jul 30, 2015 to Jun 16, 2016
      • RAUM · $370M to $0
        Jul 30, 2015 to Jun 16, 2016
      • Private funds · 6 to unset
        Jul 22, 2015 to Jul 30, 2015
      • Discretionary RAUM · $381M to $370M
        Jul 21, 2015 to Jul 22, 2015
      • RAUM · $381M to $370M
        Jul 21, 2015 to Jul 22, 2015
      • Accounts · 39 to 48
        Mar 31, 2015 to Jun 23, 2015
      • Discretionary RAUM · $378M to $381M
        Mar 31, 2015 to Jun 23, 2015
      • RAUM · $378M to $381M
        Mar 31, 2015 to Jun 23, 2015
      • Accounts · 0 to 39
        Apr 11, 2014 to Jun 25, 2014
      • Advisory employees · 0 to 1
        Apr 11, 2014 to Jun 25, 2014
      • Advisory activities · 3 to 1
        Apr 11, 2014 to Jun 25, 2014
      • BD registered reps · 14 to 1
        Apr 11, 2014 to Jun 25, 2014
      • Assets in custody · $0 to $388M
        Apr 11, 2014 to Jun 25, 2014
      • Custody of client assets · false to true
        Apr 11, 2014 to Jun 25, 2014
      • Employees · 24 to 4
        Apr 11, 2014 to Jun 25, 2014
      • State-registered IARs · 5 to 1
        Apr 11, 2014 to Jun 25, 2014
      • Discretionary RAUM · $0 to $378M
        Apr 11, 2014 to Jun 25, 2014
      • RAUM · $0 to $378M
        Apr 11, 2014 to Jun 25, 2014
      • Custody of client assets · true to false
        Mar 31, 2014 to Apr 10, 2014
      • Private funds · unset to 6
        Mar 19, 2014 to Mar 31, 2014
      • BD registered reps · 6 to 14
        Jan 22, 2013 to Jun 25, 2013
      • Employees · 17 to 24
        Jan 22, 2013 to Jun 25, 2013
      • State-registered IARs · 3 to 5
        Jan 22, 2013 to Jun 25, 2013
      • Private funds · 3 to unset
        Jan 22, 2013 to Jun 25, 2013
      • Accounts · 4 to 0
        Oct 29, 2012 to Jan 22, 2013
      • Private funds · 7 to 3
        Oct 29, 2012 to Jan 22, 2013
      • Discretionary RAUM · $21.0M to $0
        Oct 29, 2012 to Jan 22, 2013
      • RAUM · $21.0M to $0
        Oct 29, 2012 to Jan 22, 2013
      • Advisory employees · unset to 0.0
        Sep 25, 2012 to Oct 29, 2012
      • BD registered reps · unset to 6.0
        Sep 25, 2012 to Oct 29, 2012
      • Employees · unset to 17.0
        Sep 25, 2012 to Oct 29, 2012
      • State-registered IARs · 0 to 3
        Sep 25, 2012 to Oct 29, 2012
      • Private funds · 5 to 7
        Jun 28, 2012 to Sep 25, 2012
      • Private funds · 4 to 5
        Mar 23, 2012 to Jun 28, 2012
      • Discretionary RAUM · $12.5M to $21.0M
        Mar 23, 2012 to Jun 28, 2012
      • RAUM · $12.5M to $21.0M
        Mar 23, 2012 to Jun 28, 2012
      • Accounts · 0 to 4
        Nov 18, 2011 to Mar 23, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026