Asset manager · Chicago, IL
Mesirow Financial Investment Management, Inc.
SEC-registered investment adviser · CRD 111135 · SEC 801-27047
At a glance
Mesirow Financial Investment Management, Inc. is an SEC-registered investment adviser based in Chicago, Illinois, with $50.4 billion in regulatory assets under management as of its Form ADV filed July 7, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 14,056 individual clients. By Form ADV it is a asset manager, ranked 206th of 3,218 asset managers and 428th of 17,210 SEC-registered advisers by assets.
Main office 800-621-4421mesirow.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $50B
- Rank among asset managers
- #206 of 3,218
- Rank among all SEC RIAs
- #428 of 17,210
- Rank in Illinois
- #32 of 684
- Individual clients
- 14,056
- High-net-worth clients
- 14,040
- Accounts
- 90,291
- Discretionary
- 98% of AUM
- Employees
- 161
- Advisory staff
- 116
- Offices
- 12
Owners and executives on its Form ADV
- Michael E. AnninFiduciary Solutions Department, President
- Richard S. PriceDirector/executive Chairman/ceo
- Alasdair R. CrippsReal Estate Direct Investments Department, CEO and Co-Chief Investment Officer
- Lee M. GordonWealth Management Department, Chairman
- Joseph P. HoffmanCurrency Management Department, President
- Jesse J. KeigChief Financial Officer/director
- Brian D. PriceHead of Advisory Services
- James ShieldsChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Mesirow Financial Investment Management, Inc. is a hybrid RIA: 101 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Mesirow Financial, Inc..
- Mesirow Financial, Inc. ↗CRD 2764
An introducing broker-dealer: its trades clear through National Financial Services (Fidelity) and Pershing, which hold the brokerage accounts. Its annual audited report filed with the SEC, May 2026
Its Form ADV brochure (filed June 2026) names Mesirow Financial as the broker-dealer its advisers are registered with.
Certain employees of MFIM may be separately licensed as registered representatives of MFI.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 76,209 | $34B | 68% |
| High-net-worth individuals | 14,040 | $13B | 26% |
| Pooled investment vehicles | 5 | $2.9B | 6% |
| Corporations or other businesses | 11 | $103M | <1% |
| Charitable organizations | 10 | $63M | <1% |
| Individuals | 16 | $4M | <1% |
Private funds
Mesirow Financial Investment Management, Inc. reports 6 private funds with $2.9B in gross assets: real estate funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Mesirow Financial Investment Management, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗mesirow.com ↗
AtlasMembers
The full record on Mesirow Financial Investment Management, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 303 peers of its type and size
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- Owners and executives, with titles and stakes
- 8 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Mesirow Financial Investment Management, Inc. manage?
Mesirow Financial Investment Management, Inc. reports $50.4 billion in regulatory assets under management across 90,291 accounts, 98% of it on a discretionary basis, on its Form ADV filed July 7, 2026.
What kind of firm is Mesirow Financial Investment Management, Inc.?
Mesirow Financial Investment Management, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Mesirow Financial Investment Management, Inc.’s clients?
By assets, its largest client types are pension and profit sharing plans ($34.4 billion, 76,209 clients); high-net-worth individuals ($13.0 billion, 14,040 clients); pooled investment vehicles ($2.9 billion, 5 clients).
Does Mesirow Financial Investment Management, Inc. manage private funds?
Yes. It reports 6 private funds with $2.9 billion in gross assets, including real estate funds, other private funds.
Does Mesirow Financial Investment Management, Inc. have any disciplinary history?
Mesirow Financial Investment Management, Inc. answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Mesirow Financial Investment Management, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-07), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →