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N•• P••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

N•• P••••••• L••

CRD 110039

SHAKER HEIGHTS, OH

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Search this name across graphsid dfx:ria:21ef413f-033e-b0ab-b728-fbe297bee236

Data as of Jul 9, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 21
On other graphs: 0
Observed: Dec 22, 2011 to Jul 9, 2024
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $502M
Private client RAUM: $908Mderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• S••••• W••••••	GENERAL COUNSEL	Na	yes	06/2024	Jun 28, 2024	Jul 9, 2024
C• F•••••••• C•••	Owner	E	yes	11/2019	Jun 28, 2024	Jul 9, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• P•••••• W••••• L••	n/a	Independent wealth	$165B	Y	yes	n/a
N•• F•••••••• L••	n/a	Former SEC adviser	$519M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.0B	$930M	8.1%	$926M	2.8%	25	25	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••	2	Sep 17, 2024	Jul 16, 2024	SHAKER HEIGHTS, OH	Team lift out	RIA to RIA	100.0%

Relationships

Affiliated with (3)

→ N•• F•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ C••••••Registered adviserother investment adviser, control, common control
factForm ADV
← N•• F•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (13)

← A••••• S••••• W••••••Owner

Dated events

Occurred
Sep 17, 2024
Team lift-out
2 advisors left N•• P••••••• L•• (Shaker Heights, OH) for Corient on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Sep 17, 2024
Advisor changed firm
Terence Conway Sullivan left N•• P••••••• L•• for Corient (registered 2024-07-15)
Form ADVobserved 7 days ago
Occurred
Sep 17, 2024
Advisor changed firm
Christine Louise Jemison left N•• P••••••• L•• for Corient (registered 2024-07-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:21ef413f-033e-b0ab-b728-fbe297bee236
First observed: Dec 22, 2011
Last observed: Jul 9, 2024 26 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.