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Employer firm

Mesirow Financial Investment Management, Inc. CRD 111135

$50.4B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Mesirow Financial Investment Management, Inc.

353 N. Clark St, Chicago, IL 60654 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-10-02
  • IL RA
    APPROVED
    Since 2020-10-02

Branch Locations

353 N. Clark St, Chicago, IL 60654 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mesirow Financial, Inc. Highland Park IL 06/2014 01/2020
The Road Less Traveled Chicago IL 02/2020 09/2020
Mesirow Financial Chicago IL 10/2020 Present
  • 06/2014 → 01/2020
    Mesirow Financial, Inc.
    Highland Park, IL
  • 02/2020 → 09/2020
    The Road Less Traveled
    Chicago, IL
  • 10/2020 → Present
    Mesirow Financial
    Chicago, IL
Previous Registrations
Other Businesses

I am a limited, minority partner in The Road Less Traveled. This is a passive activity. This is not an investment-related business - it is a company that sends teenagers on adventure and community service travel programs all over the world. Address: 2331 N Elston Ct, Chicago, IL 60614 No position/title - I have a passive partnership interest Relationship started in February of 2020 A couple of hours per month are spent talking through business strategy with the operators/directors of the business or brainstorming ideas for new programs that could be offered to participants. No hours are spent on the business during securities trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-24
  • S66 Uniform Combined State Law Examination
    2014-09-24

View on SEC IAPD

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