Thursday, October 22, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Chief Compliance Officer · Mesirow Financial Investment Management, Inc.

James Shields

CRD 2927398 · Named on Form ADV at 6 SEC-registered advisers

At a glance

Mesirow Financial Investment Management, Inc., an SEC-registered asset manager based in Chicago, IL with $50.4 billion in regulatory assets, lists James Shields on its Form ADV as Chief Compliance Officer, a control person. The SEC filings also name James at 5 other registered advisers.

Firms and roles

AtlasMembers

James’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
6 firmsLocked
Control-person status
4 firmsLocked
When each role began
Locked
Each firm’s assets and growth
Locked
Search and export owners by title, state and firm size
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (12)

  • Michael E. AnninFiduciary Solutions Department, President, Mesirow Financial Investment Management, Inc.
  • Richard S. PriceDirector/executive Chairman/ceo, Mesirow Financial Investment Management, Inc.
  • Alasdair R. CrippsReal Estate Direct Investments Department, CEO and Co-Chief Investment Officer, Mesirow Financial Investment Management, Inc.
  • Lee M. GordonWealth Management Department, Chairman, Mesirow Financial Investment Management, Inc.
  • Joseph P. HoffmanCurrency Management Department, President, Mesirow Financial Investment Management, Inc.

7 more people named with James on the same filings, with titles and firms. Free in Atlas with a free account.

See all 12 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.