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.

Advisor moves

Arrivals at Mesirow Financial Investment Management, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Alfred Slatten BryantCorient independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIASep 3, 2026Sep 11, 2026
Kimberly B PetriccaAlera Investment Advisors, LLC mixed wealthMesirow Financial Investment Management, Inc. mixed wealthRIA to RIAMar 12, 2026Jul 27, 2026 (137 d)
Rachel MarkleRaymond James & Associates, Inc. national BDMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 23, 2025Jan 6, 2026
Ashley Elizabeth CrotwellSequoia Financial Group, L.L.C. independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIAJan 16, 2025Jan 24, 2025
Gary Kevin PattengaleCorient independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIAOct 31, 2024Jan 3, 2025 (64 d)
Craig Daniel PriceNaples Wealth Planning independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIASep 18, 2024Aug 19, 2024
Nancy ZehrNaples Wealth Planning independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIASep 18, 2024Aug 19, 2024
James Anthony ValentinoOsaic Wealth, Inc. BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAJun 26, 2024Jul 9, 2024
Patrick CoffeyMorgan Stanley wirehouseMesirow Financial Investment Management, Inc. otherOtherFeb 9, 2024Feb 21, 2024
Marshall B FrontFront Barnett Associates LLC independent RIAMesirow Financial Investment Management, Inc. otherOtherDec 4, 2023Oct 2, 2023
Michael R MacmillanFront Barnett Associates LLC independent RIAMesirow Financial Investment Management, Inc. otherOtherDec 4, 2023Oct 2, 2023
Nicholas Anthony MoriartyMariner BD affiliatedMesirow Financial Investment Management, Inc. otherOtherAug 28, 2023Sep 13, 2023
Alejandro GonzalezBankers Life Advisory Services, Inc. BD affiliatedMesirow Financial Investment Management, Inc. otherOtherJun 22, 2023Jul 19, 2023
Lisa Norcia-AppelbaumMorgan Stanley wirehouseMesirow Financial Investment Management, Inc. mixed wealthWirehouse to independent RIAJun 13, 2023Jun 8, 2023
Jared KirschenbaumOppenheimer & Co. Inc. BD affiliatedMesirow Financial Investment Management, Inc. otherOtherMay 5, 2023Sep 28, 2023 (146 d)
Andrew Michael MutluAmeriprise Financial Services, LLC national BDMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAJan 3, 2023Jan 5, 2023
Jennifer Ann MorrealeQuantum Private Wealth, LLC independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIADec 6, 2022Jan 24, 2023 (49 d)
Sabrina EmertMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMesirow Financial Investment Management, Inc. otherOtherSep 27, 2021Sep 20, 2021
Katrina Denise JonesBankers Life Advisory Services, Inc. BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAMay 25, 2021May 7, 2021
Kevin Lynn BabbLPL Financial LLC BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIASep 8, 2020Aug 3, 2020
Bradley Alan RistLPL Financial LLC BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIASep 8, 2020Aug 3, 2020
Usman Rahman KhanLPL Financial LLC BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIASep 8, 2020Aug 3, 2020
Joseph AndreU.S. Bancorp Investments, Inc. BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 12, 2019Mar 16, 2020 (95 d)
James Crawford LoganTlg Advisors, Inc. BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 3, 2018Dec 5, 2018
Andrew NovakBalasa Dinverno Foltz LLC independent RIAMesirow Financial Investment Management, Inc. mixed wealthRIA to RIASep 12, 2018Sep 27, 2018
Jennifer Marie FriedmanPrincipal Securities, Inc. BD affiliatedMesirow Financial Investment Management, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIASep 5, 2018Jul 13, 2020 (677 d)
Chad Alan SchroederMesirow Advanced Strategies Inc asset managerMesirow Financial Investment Management, Inc. mixed wealthOtherJul 18, 2018Jul 6, 2018
Rita Mary LatnhothaPrincipal Securities, Inc. otherMesirow Financial Investment Management, Inc. otherOtherNov 14, 2017Nov 28, 2017
Gregg M LuncefordBmo Harris Financial Advisors, Inc otherMesirow Financial Investment Management, Inc. otherOtherJul 19, 2017Jul 3, 2017
Sumit Lalit DesaiWest Loop Investment Advisors, Ltd. unclassifiedMesirow Financial Investment Management, Inc. otherOtherMar 27, 2017Jan 30, 2018 (309 d)
Debra Ruth LevyUBS Financial Services Inc. wirehouseMesirow Financial Investment Management, Inc. otherOtherNov 15, 2016Nov 9, 2016
Darren S FeldMesirow Advanced Strategies Inc otherMesirow Financial Investment Management, Inc. otherOtherJul 14, 2016Jul 13, 2016
Alex J HaleBalasa Dinverno Foltz LLC otherMesirow Financial Investment Management, Inc. otherOtherMay 13, 2016May 24, 2016
Joseph Patrick HoffmanRussell Investment Group no RAUMMesirow Financial Investment Management, Inc. otherOtherMar 30, 2016Aug 17, 2017 (505 d)
Daniel J NyhanNuveen Asset Management, LLC otherMesirow Financial Investment Management, Inc. otherOtherJul 10, 2015Jul 13, 2015
James Edward GainesSaxony Capital Management, LLC otherMesirow Financial Investment Management, Inc. otherOtherFeb 25, 2015Feb 24, 2015
Daniel Arthur NickowMorgan Stanley wirehouseMesirow Financial Investment Management, Inc. otherOtherSep 21, 2012Aug 31, 2012
Brett Harris SalzerMorgan Stanley wirehouseMesirow Financial Investment Management, Inc. otherOtherSep 11, 2012Aug 31, 2012
Renee Dalal DawsonNpa Asset Management, LLC otherMesirow Financial Investment Management, Inc. otherOtherMar 18, 2011Feb 13, 2018 (2524 d)
Thomas Francis HynesMesirow Financial Private Equity Advisors, Inc. otherMesirow Financial Investment Management, Inc. otherOtherDec 31, 2010Nov 10, 2010
Andrew Thomas ChristosColumbia Management Investment Advisers, LLC otherMesirow Financial Investment Management, Inc. otherOtherJul 23, 2010Jul 26, 2010
Brandon Lee KerndtCharles Schwab & Co., Inc. national BDMesirow Financial Investment Management, Inc. otherOtherJul 21, 2010Jul 12, 2010
Todd Franklin BracyMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherJun 9, 2010Jun 8, 2010
Jeffrey Michael CondrenJ.P. Morgan Securities LLC wirehouseMesirow Financial Investment Management, Inc. otherOtherApr 29, 2010Oct 13, 2015 (1993 d)
Adam B FaustCharles Schwab & Co., Inc. national BDMesirow Financial Investment Management, Inc. otherOtherJan 15, 2010Jan 4, 2010
Robert Alan GoshenMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Sep 27, 2006
Christopher Gerard ReaganMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Mar 22, 2006
Robert Thomas WeilMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Sep 28, 2006
Kevin Michael DoneyMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Oct 3, 2006
John Read KaufmanMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Oct 18, 2006
Kevin Michael KaiserMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Mar 20, 2006
Neal R GobyMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Jan 4, 2010
Charles Boyles LawlessMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Sep 28, 2006
Richard Harris BergmanMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Mar 20, 2006
Ernest Joseph TalaricoMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Oct 3, 2006
Christine Marie PallMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Mar 22, 2006
Christopher John PohlmanMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Sep 28, 2006
David H. DermenjianMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Sep 28, 2006
Thomas Andrew PanoplosMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Jan 25, 2007
Vincent Anthony AllegraMesirow Financial, Inc. unclassifiedMesirow Financial Investment Management, Inc. otherOtherDec 31, 2009Sep 28, 2006
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87 moves match.