Mesirow Financial Investment Management, Inc.
SEC-registered
Institutional / Pension Advisor · Large ($10B–$100B)
CRD 111135
· SEC file 801-27047
· Chicago, IL
· www.linkedin.com
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ADV data as of Jul 07, 2026
- Regulatory AUM
- $50.4B
- Discretionary
- $49.2B
- Clients
- 90,291
- Avg AUM / client
- $559K
- Accounts
- 90,291
- Employees
- 161
AUM over time
$8.7B
$51.8B
Nov 2011
Mar 2026
Annual snapshots from Form ADV filings · as of Jul 07, 2026
Asset allocation (SMA assets by investment type)
as of Jul 07, 2026
Other
$36.3B
72%
Registered investment companies (funds/ETFs)
$8.1B
16%
Exchange-traded equities
$3.5B
7%
US government & agency bonds
$504M
1%
State & local bonds
$504M
1%
Investment-grade corporate bonds
$504M
1%
Cash & equivalents
$504M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 16 | $3.6M | 0.01% |
| High net worth individuals | 14,040 | $13.0B | 25.7% |
| Pooled investment vehicles (non-investment companies) | 5 | $2.9B | 5.73% |
| Pension and profit sharing plans | 76,209 | $34.4B | 68.2% |
| Charitable organizations | 10 | $62.7M | 0.12% |
| Corporations and other businesses | 11 | $103M | 0.2% |
Private funds (9)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $3.9B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Mesirow Financial Real Estate Value Fund Iv, L.P. | Real Estate Fund | Delaware | $1.8B | 32 |
| Mesirow Financial Real Estate Value Fund Iii, L.P. | Real Estate Fund | Delaware | $1.6B | 41 |
| Mesirow Financial Real Estate Value Fund Ii, L.P. | Real Estate Fund | Delaware | $235M | 35 |
| Mesirow Floating Rate Fund I, L.P. | Other Private Fund | Delaware | $137M | 7 |
| Wealth Advisors Feeder Fund I, L.P. feeder | Other Private Fund | Delaware | $60.7M | 98 |
| Mesirow Financial Employee Real Estate Value Fund Iii, L.P. | Real Estate Fund | Delaware | $10.5M | 29 |
| Mesirow Financial Employee Real Estate Value Fund Iv, L.P. | Real Estate Fund | Delaware | $10.2M | 27 |
| Mesirow Real Estate Value Fund Iv Feeder, L.P. feeder | Other Private Fund | Delaware | $8.3M | 39 |
| Mesirow Financial Employee Real Estate Value Fund Ii, L.P. | Real Estate Fund | Delaware | $1.6M | 21 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (94)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lee Michael Gordon | Wealth Management Department, Chairman | Sep 2006 (20y) | Less than 5% | |
| Jeffrey Michael Levine | Director | Dec 2008 (18y) | Less than 5% | |
| Cripps, Alasdair, Robert James | Real Estate Direct Investments Department, Ceo And Co Chief Investment Officer | Jun 2010 (16y) | Less than 5% | |
| Price, Richard, Scott | Director/Chairman | Mar 2011 (15y) | Less than 5% | |
| Mary Jo Moon Hayes | Chief Compliance Officer | May 2011 (15y) | Less than 5% | |
| Michael Edward Annin | Fiduciary Solutions Department, President | CFA | Dec 2013 (13y) | Less than 5% |
| Hegel, Peter, Wolfgang | Senior Managing Director | Aug 2016 (10y) | Less than 5% | |
| Joseph Patrick Hoffman | Currency Management Department, President | CFA | Aug 2017 (9y) | Less than 5% |
| Brown, Natalie, Annette | Director | Feb 2021 (6y) | Less than 5% | |
| Keig, Jesse, Joseph | Chief Financial Officer | Jun 2021 (5y) | Less than 5% | |
| Price, Brian, David | Head Of Advisory Services | Nov 2022 (4y) | Less than 5% | |
| Swierczewski, Steven, Charles | Senior Managing Director, Global Investment Management Division | Apr 2023 (3y) | Less than 5% | |
| Jennifer Eve Rosenblum | Registered representative | Aug 1998 (28y) | ||
| Timothy Glen Ewing | Registered representative | Jan 2003 (24y) | ||
| David Ross Engle | Registered representative | Jun 2004 (22y) | ||
| Luis Ricardo Villarejo | Registered representative | Mar 2005 (21y) | ||
| Alan Howard Abramson | Registered representative | Mar 2006 (20y) | ||
| Paul Henry Blumberg | Registered representative | Mar 2006 (20y) | ||
| Richard H Korengold | Registered representative | Mar 2006 (20y) | ||
| Steven Nathan Mesirow | Registered representative | Mar 2006 (20y) | ||
| William Anthony Maniscalco | Registered representative | Mar 2006 (20y) | ||
| Brian Joel Shevitz | Registered representative | Mar 2006 (20y) | ||
| Brock Carl Lamarca | Registered representative | Mar 2006 (20y) | ||
| William Allan Robbins | Registered representative | Mar 2006 (20y) | ||
| Christopher Mark O'neill | Registered representative | CFP Chartered Financial Consultant CFA | Mar 2006 (20y) | |
| Shauna Nicole Kelly Moran | Registered representative | Sep 2006 (20y) | ||
| Michael Kim Bryan | Registered representative | Sep 2006 (20y) | ||
| Joseph Michael Scanlon | Registered representative | Sep 2006 (20y) | ||
| Norman David Schlismann | Registered representative | Sep 2006 (20y) | ||
| Steven Mark Perlman | Registered representative | Sep 2006 (20y) | ||
| Lawrence Michael Cohen | Registered representative | Nov 2006 (20y) | ||
| David Scott Israel | Registered representative | Dec 2006 (20y) | ||
| Jordan Bradley Scher | Registered representative | Dec 2006 (20y) | ||
| Adam Scott Goldman | Registered representative | Dec 2006 (20y) | ||
| Robert Francis Martin | Registered representative | Jun 2008 (18y) | ||
| Cheryl L. Cabanski | Registered representative | Dec 2008 (18y) | ||
| Andrew Michael Pataky | Registered representative | Jan 2009 (18y) | ||
| Daniel Charles Kaspari | Registered representative | Jun 2009 (17y) | ||
| Laurel Jean Rettig | Registered representative | Oct 2009 (17y) | ||
| Marla Denise Bernard | Registered representative | Jan 2010 (17y) | ||
| Michael Alan Adamski | Registered representative | Jan 2010 (17y) | ||
| Sandra Lee Lackhouse | Registered representative | Jan 2010 (17y) | ||
| Clint Matthew Fyffe | Registered representative | CFP | Jul 2010 (16y) | |
| Brandon Lee Kerndt | Registered representative | Jul 2010 (16y) | ||
| Brian Jared Lorber | Registered representative | Jul 2010 (16y) | ||
| Thomas Francis Hynes | Registered representative | Nov 2010 (16y) | ||
| Gabriel Zynstein Korach | Registered representative | Apr 2011 (15y) | ||
| Lavanya Batchu | Registered representative | Jan 2014 (13y) | ||
| Wenli Tan | Registered representative | Apr 2014 (12y) | ||
| Stephanie Feldman | Registered representative | Aug 2014 (12y) | ||
| Jennifer Rose Gartenberg | Registered representative | Dec 2014 (12y) | ||
| Vincent Louis Vicidomini | Registered representative | Dec 2014 (12y) | ||
| James Edward Gaines | Registered representative | Feb 2015 (11y) | ||
| Daniel J Nyhan | Registered representative | Jul 2015 (11y) | ||
| Jeffrey Michael Condren | Registered representative | Oct 2015 (11y) | ||
| Darren S Feld | Registered representative | Chartered Financial Consultant | Jul 2016 (10y) | |
| Lauren Greenebaum | Registered representative | Sep 2016 (10y) | ||
| Debra Ruth Levy | Registered representative | Nov 2016 (10y) | ||
| Jennifer Lynn Lockbaum | Registered representative | Mar 2017 (9y) | ||
| Gregg M Lunceford | Registered representative | CFP | Jul 2017 (9y) | |
| Sophia Yudkowsky | Registered representative | Jul 2017 (9y) | ||
| Noah Jarreth Bloch | Registered representative | Jan 2018 (9y) | ||
| Sumit Lalit Desai | Registered representative | Jan 2018 (9y) | ||
| Aaron Kee Heltsley | Registered representative | Jan 2019 (8y) | ||
| Miles Daniel Matheson | Registered representative | Jun 2019 (7y) | ||
| Servia Anne Rindfleish | Registered representative | CFA | Jun 2019 (7y) | |
| Joseph Andre | Registered representative | Mar 2020 (6y) | ||
| Michael Edward Breen | Registered representative | Oct 2020 (6y) | ||
| Katrina Denise Jones | Registered representative | May 2021 (5y) | ||
| Kendall Martin Lavelle | Registered representative | Jun 2021 (5y) | ||
| Sabrina Emert | Registered representative | Sep 2021 (5y) | ||
| Scott Blajszczak | Registered representative | Mar 2022 (4y) | ||
| Christin S Pomerantz | Registered representative | Oct 2022 (4y) | ||
| Andrew Michael Mutlu | Registered representative | CFP | Jan 2023 (4y) | |
| Jennifer Ann Morreale | Registered representative | Jan 2023 (4y) | ||
| Lisa Norcia Appelbaum | Registered representative | Jun 2023 (3y) | ||
| Alejandro Gonzalez | Registered representative | Jul 2023 (3y) | ||
| Nicholas Anthony Moriarty | Registered representative | Sep 2023 (3y) | ||
| Nicolette Kulach | Registered representative | Sep 2023 (3y) | ||
| Jared Kirschenbaum | Registered representative | Sep 2023 (3y) | ||
| Marshall B Front | Registered representative | Oct 2023 (3y) | ||
| Michael R Mac Millan | Registered representative | Oct 2023 (3y) | ||
| Peter Wahlstrom | Registered representative | CFA | Nov 2023 (3y) | |
| James Anthony Valentino | Registered representative | Jul 2024 (2y) | ||
| Craig Daniel Price | Registered representative | CFP | Aug 2024 (2y) | |
| Nancy Zehr | Registered representative | Aug 2024 (2y) | ||
| Gary Kevin Pattengale | Registered representative | CFP | Jan 2025 (2y) | |
| Ashley Elizabeth Crotwell | Registered representative | CFP | Jan 2025 (2y) | |
| Alexander Gordon | Registered representative | Feb 2025 (1y) | ||
| Sandra Amirtha | Registered representative | Mar 2025 (1y) | ||
| Daniel S Mesirow | Registered representative | Aug 2025 (1y) | ||
| Rachel Markle | Registered representative | Jan 2026 (1y) | ||
| Michael Hellen | Registered representative | Jan 2026 (1y) | ||
| Christopher Fabian | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mesirow Financial Services, Inc. | Owner | Mar 1986 | A | 75% or more |
| Mesirow Financial Holdings, Inc. | Owner | Mar 1986 | B | ≈ 56.25% – 100% via Mesirow Financial Services, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Mesirow Financial Holdings, Inc.: 75% – 100% of Mesirow Financial Services, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (9, $3.9B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Mesirow Financial Real Estate Value Fund Iv, L.P. | Real Estate Fund | $1.8B | $5.0M | 32 |
| Mesirow Financial Real Estate Value Fund Iii, L.P. | Real Estate Fund | $1.6B | $5.0M | 41 |
| Mesirow Financial Real Estate Value Fund Ii, L.P. | Real Estate Fund | $235M | $5.0M | 35 |
| Mesirow Floating Rate Fund I, L.P. | Other Private Fund | $137M | $2.5M | 7 |
| Wealth Advisors Feeder Fund I, L.P. | Other Private Fund | $60.7M | $100K | 98 |
| Mesirow Financial Employee Real Estate Value Fund Iii, L.P. | Real Estate Fund | $10.5M | $50.0K | 29 |
| Mesirow Financial Employee Real Estate Value Fund Iv, L.P. | Real Estate Fund | $10.2M | $50.0K | 27 |
| Mesirow Real Estate Value Fund Iv Feeder, L.P. | Other Private Fund | $8.3M | $100K | 39 |
| Mesirow Financial Employee Real Estate Value Fund Ii, L.P. | Real Estate Fund | $1.6M | $50.0K | 21 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (54)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Butler County Childrens Center, Inc. Employees Savings Trust | Butler County Childrens Center Inc. | 123 | $5.6M | 07/01/2024 |
| Friendship Community Care Inc. 401 K Profit Sharing Plan | Friendship Community Care Inc. | 1,149 | $16.7M | 07/01/2024 |
| International Association Of Firefighters Staff Representatives Pension Plan | International Association Of Firefighters | 57 | $110M | 07/01/2024 |
| International Association Of Firefighters Employees Pension Plan | International Association Of Firefighters | 75 | $53.7M | 07/01/2024 |
| Indiana Laborers Pension Fund | Board Of Trustees Indiana Laborers Pension Fund | 11,260 | $1.8B | 06/01/2024 |
| Operating Engineers' Local 324 Pension Fund | Joint Board Of Trustees Operating Engineers Local 324 | 8,819 | $1.9B | 05/01/2024 |
| Csi Retirement Plan | Computer Services, Inc. | 1,368 | $247M | 03/01/2024 |
| Justrite Safety Group 401(k) Plan | Justrite Manufacturing Company, Llc | 1,121 | $58.5M | 01/01/2024 |
| Delta Electrical 401(k) And Profit Sharing Plan | Delta Electrical Incorporated | 97 | $5.1M | 01/01/2024 |
| Fourgen Holdings Inc. Retirement Plan | Fourgen Holdings Inc. | 140 | $45.2M | 01/01/2024 |
| Chicago Fire Fc 401(k) Plan | Chicago Fire Football Holdings, Llc | 283 | $8.9M | 01/01/2024 |
| Ice Miller Retirement Plan | Ice Miller Llp | 630 | $371M | 01/01/2024 |
| Crate & Barrel Holdings, Inc. Retirement Savings Plan | Euromarket Designs, Inc. D.B.A. Crate & Barrel, Cb2, And Hudson Grace | 7,357 | $343M | 01/01/2024 |
| H. W. Kaufman Financial Group Retirement Savings Plan | H.W. Kaufman Financial Group | 1,440 | $155M | 01/01/2024 |
| Steptoe Llp 401(k) And Profit Sharing Plan | Steptoe Llp | 727 | $456M | 01/01/2024 |
| Republic Airways Holdings Inc. 401(k) Plan | Republic Airways Holdings Inc. | 6,342 | $578M | 01/01/2024 |
| Amli Residential Properties 401(k) Plan | Amli Management Company | 794 | $79.5M | 01/01/2024 |
| Avvale, Inc. 401(k) Profit Sharing Plan | Avvale, Inc. | 79 | $7.8M | 01/01/2024 |
| Risk Strategies Pooled Employer Plan For Private Equity Portfolio Co's | Plan Compliance Services, Inc. | 1,167 | $72.1M | 01/01/2024 |
| Alpha Source Llc 401(k) Plan | Alpha Source Llc | 196 | $33.1M | 01/01/2024 |
| Cleanwater1 401(k) Savings Plan | Cleanwater1, Inc. | 190 | $12.2M | 01/01/2024 |
| The Hickory Farms Employee Savings And Retirement Plan | Hickory Farms, Llc | 115 | $11.2M | 01/01/2024 |
| Access Community Health Network Retirement Savings Plan | Access Community Health Network | 1,071 | $71.6M | 01/01/2024 |
| 3 Hearts Llc 401(k) Plan | 3 Hearts Llc | 84 | $197K | 01/01/2024 |
| Javara Inc Long Term Savings Plan | Javara Inc | 119 | $6.9M | 01/01/2024 |
Top 25 of 54 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/07/2026 | 2.76 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory
as of Dec 05, 2024
Allegations: THE SEC ALLEGED THAT THE FIRM VIOLATED SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 PROMULGATED THEREUNDER Status: Final Sanction Detail: DISGORGEMENT OF $487,862, PREJUDGMENT INTEREST OF $94,972 AND CIVIL PENALTY OF $170,000 Summary: THE FIRM ENTERED INTO A NEITHER ADMIT NOR DENY SETTLEMENT WITH THE SEC AND WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 PROMULGATED THEREUNDER; CENSURED AND AS DESCRIBED IN ITEM12., ORDERED TO PAY DISGORGEMENT, PREJUDGMENT INTEREST AND CIVIL PENALTY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $7.2B (14% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 07, 2026.
View current Form ADV (SEC/IAPD) ↗