SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Mesirow Financial Investment Management, Inc.
Chicago, IL
CRD 111135
Firm filing updated July 7, 2026 ·
- $50.4BAssets
- 90,291Clients
- 116Advisory staff
- 90,291Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Pension and profit sharing plans76,209
- High net worth individuals14,040
- Individuals16
- Corporations or other businesses11
- Charities10
- and 1 more5
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 16 | $3.6 million |
| High net worth individuals | 14,040 | $13.0 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 5 | $2.9 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 76,209 | $34.4 billion |
| Charitable organizations | 10 | $62.7 million |
| Corporations or other businesses not listed above | 11 | $103.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 5 services
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$50.4 billion
- Accounts90,291
- Discretionary$49.2 billion · 89,163 accounts
- Non-discretionary$1.2 billion · 1,128 accounts
People
- Employees161
- Advisory staff116
- Broker-dealer reps101
- Licensed insurance agents20
- Planning clients2,500
Advisors
42 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 111135, SEC file 801-27047.
- Registered with the SEC as an investment advisor (status date on record: May 15, 1986).
Is Mesirow Financial Investment Management, Inc. a fiduciary?
Short answer: Mesirow Financial Investment Management, Inc.
More detail
is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 101 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
20 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.