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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NORTHWEST ADVISORS, INC.

CRD 154032

WARREN, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8b4720de-a48b-dec5-889a-bdee62386e0d

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 1
On other graphs: 1
Observed: Nov 15, 2013 to Mar 27, 2018
12 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Northwest Advisors, Inc.

Investment consultant · shared crd

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: $362MItem 5.F on the latest filing (2018-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $350M
Private client RAUM: $338MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees: 22
Offices: 15Schedule D 1.F, beyond the principal office
Accounts: 2,414
Individual clients: 2,000
High net worth clients: 18
SEC number: 801-78838
CRD: 154032
Filings on the tape: 12
First filed: Nov 15, 2013
Latest filed: Mar 27, 2018
Organised: Corporation, Pennsylvania

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AHL, LAURA, BETH	CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER/SECRETARY	Na	yes	05/2011	Nov 15, 2013	Mar 27, 2018
BEARD, JOHN, KENT	PRESIDENT/BOARD CHAIRMAN	Na	yes	04/2016	Nov 15, 2013	Mar 27, 2018
FISHER, STEVEN, GLENN	BOARD MEMBER	Na	yes	05/2011	Nov 15, 2013	Mar 27, 2018
HARVEY, WILLIAM, WALTER	BOARD MEMBER	Na	yes	05/2011	Nov 15, 2013	Mar 27, 2018
LAWS, RICHARD, KEVIN	BOARD MEMBER	Na	yes	11/2014	Feb 3, 2015	Mar 27, 2018
NORTHWEST BANCSHARES, INC.	HOLDING COMPANY	E	yes	12/2009	Nov 15, 2013	Mar 27, 2018
NORTHWEST BANK	PARENT ORGANIZATION	E	yes	05/2011	Mar 17, 2016	Mar 27, 2018
RITZERT, GERALD, JAMES	Treasurer	Na	no	01/2012	Nov 15, 2013	Mar 27, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
INTEGRATED FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
NORTHWEST BANK	n/a	n/a	n/a	N	yes	n/a
NORTHWEST BANK	n/a	n/a	n/a	N	yes	n/a
NORTHWEST BANK	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Erie	Pa	United States	4	yes
Meadville	Pa	United States	2	yes
Cheektowaga	NY	United States	1	yes
Lakewood	NY	United States	1	yes
Bradford	Pa	United States	1	yes
Bridgeville	Pa	United States	1	yes
CRANBERRY TOWNSHIP	Pa	United States	1	yes
CRANBERRY TOWNSHIP	Pa	United States	1	yes
Ebensburg	Pa	United States	1	yes
Franklin	Pa	United States	1	yes
Lebanon	Pa	United States	1	yes
STATE COLLEGE	Pa	United States	1	yes
Warren	Pa	United States	1	yes
Wellsboro	Pa	United States	1	yes
York	Pa	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 27, 2018	$362M	$350M	22	22	15	n/a	n/a
2016	Mar 21, 2017	$368M	$345M	25	25	n/a	n/a	n/a
2015	Mar 17, 2016	$361M	$346M	40	36	n/a	n/a	n/a
2014	Feb 3, 2015	$354M	$339M	41	38	n/a	n/a	n/a
2013	Jan 7, 2014	$144M	$141M	32	32	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$362M	$368M	-1.6%	$354M	0.8%	22	25	15	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	7	Dec 31, 2018	Oct 5, 2017	WARREN, PA	Firm absorbed	RIA to RIA	87.5%

Relationships

Controls (7)

← BEARD, JOHN, KENTOwnerPRESIDENT/BOARD CHAIRMAN, ownership code NA, individual
Nov 15, 2013 to presentfactForm ADV
← AHL, LAURA, BETHOwnerCHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER/SECRETARY, ownership code NA, individual
Nov 15, 2013 to presentfactForm ADV
← FISHER, STEVEN, GLENNOwnerBOARD MEMBER, ownership code NA, individual
Nov 15, 2013 to presentfactForm ADV
← HARVEY, WILLIAM, WALTEROwnerBOARD MEMBER, ownership code NA, individual
Nov 15, 2013 to presentfactForm ADV
← LAWS, RICHARD, KEVINOwnerBOARD MEMBER, ownership code NA, individual
Feb 3, 2015 to presentfactForm ADV
← NORTHWEST BANCSHARES, INC.OwnerHOLDING COMPANY, ownership code E, domestic entity
Nov 15, 2013 to presentfactForm ADV
← NORTHWEST BANKOwnerPARENT ORGANIZATION, ownership code E, domestic entity
Mar 17, 2016 to presentfactForm ADV

Owns (1)

← RITZERT, GERALD, JAMESOwnerTREASURER, ownership code NA, individual
Nov 15, 2013 to presentfactForm ADV

Affiliated with (1)

← ECM ADVISORS INCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (17)

← JEFFREY WILLIAM EVANSAdvisorregistration: previous registration
Feb 18, 2014 to Dec 31, 2018factForm ADV
← BRIAN SCOTT LIPTAKAdvisorregistration: previous registration
Oct 31, 2011 to Dec 31, 2018factForm ADV
← JERE C WISEAdvisorregistration: previous registration
Oct 31, 2011 to Dec 31, 2018factForm ADV
← KENNETH A BROWNAdvisorregistration: previous registration
Mar 30, 2012 to Dec 31, 2018factForm ADV
← TONI LYNNE PAUPAdvisorregistration: previous registration
Oct 31, 2011 to Dec 31, 2018factForm ADV
← RYAN ARTHUR WEIGLEAdvisorregistration: previous registration
Feb 4, 2015 to Dec 31, 2018factForm ADV
← WILLIAM DOUGLAS MCCULLOUGHAdvisorregistration: previous registration
Mar 23, 2016 to Dec 31, 2018factForm ADV
← LAURA BETH AHLAdvisorregistration: previous registration
Feb 5, 2014 to Dec 31, 2018factForm ADV
← Keith T LohmAdvisorregistration: previous registration
Nov 12, 2013 to Mar 26, 2018factForm ADV
← David M GarresAdvisorregistration: previous registration
Jan 8, 2013 to Mar 5, 2018factForm ADV
← Nancy Jean NogaAdvisorregistration: previous registration
Oct 23, 2017 to Feb 14, 2018factForm ADV
← THOMAS RAYMOND SKELTONAdvisorregistration: previous registration
Jan 14, 2013 to Aug 30, 2017factForm ADV
← Walter Neil ZurowskiAdvisorregistration: previous registration
Jan 3, 2013 to May 22, 2017factForm ADV
← DREW ADAM ECKLUNDAdvisorregistration: previous registration
Oct 31, 2011 to Mar 21, 2017factForm ADV
← Thomas Andrew FleddermanAdvisorregistration: previous registration
Nov 1, 2011 to Mar 21, 2017factForm ADV
← DOREEN LEONA KOLENOAdvisorregistration: previous registration
Oct 31, 2011 to Aug 31, 2016factForm ADV
← Joseph Patrick ColosimoAdvisorregistration: previous registration
Oct 31, 2011 to Oct 21, 2015factForm ADV

Moved with (1)

→ LPL FINANCIAL LLCRegistered adviser7 advisors, firm absorbed, same day
Dec 31, 2018 to Oct 5, 2017factForm ADV

Dated events

Occurred
Nov 15, 2013
First Form ADV filing
Northwest Advisors, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b4720de-a48b-dec5-889a-bdee62386e0d
First observed: Nov 15, 2013
Last observed: Mar 27, 2018 103 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.

NORTHWEST ADVISORS, INC.

CRD 154032

WARREN, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8b4720de-a48b-dec5-889a-bdee62386e0d

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:42 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AHL, LAURA, BETH

CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER/SECRETARY

yes

05/2011

Nov 15, 2013

Mar 27, 2018

BEARD, JOHN, KENT

PRESIDENT/BOARD CHAIRMAN

yes

04/2016

Nov 15, 2013

Mar 27, 2018

FISHER, STEVEN, GLENN

BOARD MEMBER

yes

05/2011

Nov 15, 2013

Mar 27, 2018

HARVEY, WILLIAM, WALTER

BOARD MEMBER

yes

05/2011

Nov 15, 2013

Mar 27, 2018

LAWS, RICHARD, KEVIN

BOARD MEMBER

yes

11/2014

Feb 3, 2015

Mar 27, 2018

NORTHWEST BANCSHARES, INC.

HOLDING COMPANY

yes

12/2009

Nov 15, 2013

Mar 27, 2018

NORTHWEST BANK

PARENT ORGANIZATION

yes

05/2011

Mar 17, 2016

Mar 27, 2018

RITZERT, GERALD, JAMES

Treasurer

01/2012

Nov 15, 2013

Mar 27, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

INTEGRATED FINANCIAL SERVICES, INC.

n/a

yes

n/a

NORTHWEST BANK

n/a

yes

n/a

NORTHWEST BANK

n/a

yes

n/a

NORTHWEST BANK

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Erie

United States

yes

Meadville

United States

yes

Cheektowaga

United States

yes

Lakewood

United States

yes

Bradford

United States

yes

Bridgeville

United States

yes

CRANBERRY TOWNSHIP

United States

yes

CRANBERRY TOWNSHIP

United States

yes

Ebensburg

United States

yes

Franklin

United States

yes

Lebanon

United States

yes

STATE COLLEGE

United States

yes

Warren

United States

yes

Wellsboro

United States

yes

York

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 27, 2018

$362M

$350M

n/a

2016

Mar 21, 2017

$368M

$345M

n/a

2015

Mar 17, 2016

$361M

$346M

n/a

2014

Feb 3, 2015

$354M

$339M

n/a

2013

Jan 7, 2014

$144M

$141M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$362M

$368M

-1.6%

$354M

0.8%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Dec 31, 2018

Oct 5, 2017

WARREN, PA

Firm absorbed

RIA to RIA

87.5%