DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S•••• A••• S••••••••

I••••••••• F•••••••• G••••• L••BD affiliatedWestlake, Ohdual registrantIAPD 3042775

Feed of 09/14/2026

Also filed as S•••• Ann Lombardo

At current firm

9 y

since Nov 29, 2016

In the industry

22 y

since Oct 29, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• F•••••••• G••••• L•• BD affiliated current
since Nov 29, 2016 · Westlake, Oh
F••••••• S••••••••• I••• former
Sep 3, 2015 to Nov 29, 2016 · Westlake, Oh
F•••••••• L•• former
Mar 11, 2009 to Aug 14, 2015 · Mayfield Heights, Oh
S•••••• M••••• L•• i••••••••• wealth
Jun 28, 2006 to Mar 2, 2009 · Beachwood, Oh
S•• C•••••• A••••••• L•• institutional
Dec 19, 2005 to Dec 31, 2006 · Fort Worth, Tx
F•••••• B•••• W••••• L•• unclassified
Nov 4, 2003 to Dec 14, 2005 · Beachwood, Oh

Moves

a registration end followed by a registration begin elsewhere

F••••••• S••••••••• I••• to I••••••••• F•••••••• G••••• L••
left Nov 29, 2016, registered Nov 29, 2016 (0 days) · Other
F•••••••• L•• to F••••••• S••••••••• I•••
left Aug 14, 2015, registered Sep 3, 2015 (20 days) · Other
S•••••• M••••• L•• to F•••••••• L••
left Mar 2, 2009, registered Mar 11, 2009 (9 days) · Other
S•• C•••••• A••••••• L•• to S•••••• M••••• L••
left Dec 31, 2006, registered Jun 28, 2006 (-186 days) · corporate re-registration, not a move
F•••••• B•••• W••••• L•• to S•• C•••••• A••••••• L••
left Dec 14, 2005, registered Dec 19, 2005 (5 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address