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.
Former SEC-registered adviser
Northwest Advisors, Inc.
Latest filing Mar 27, 2018
First filing on the tape Nov 15, 2013 · 12 filings
RAUM
$362M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$338M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
22 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$362M as of Mar 27, 2018
Jan 7, 2014$144M then
HNW client RAUM: $12.0M
State-registered IARs (5.B.3)22 as of Mar 27, 2018
Jan 7, 201430 then
Employees (5.A)22 as of Mar 27, 2018
Jan 7, 201432 then
Private funds: no history
RAUM -1.6% over the last fiscal year+0.8% a year over threeIARs 25 to 22
Practice profile
derived from the filing of Mar 27, 2018; every figure names its basis
- RAUM per advisor
- $16.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $667,322derivedHNW RAUM over HNW clients
- Average account
- $150,148derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.4derived16 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $247MreportedItem 5.I
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$326M90%
- Charitable organizations$15.9M4.4%
- High-net-worth individuals$12.0M3.3%
- Pension and profit-sharing plans$8.3M2.3%
- Individual clients
- 2,000reported
- HNW clients
- 18reported
- Pension plan clients
- 5reported
- Charitable clients
- 77reported
- Accounts
- 2,414reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- William Douglas Mccullough to LPL Financial LLCDec 31, 2018 · Other
- Brian Scott Liptak to LPL Financial LLCDec 31, 2018 · Other
- Toni Lynne Paup to LPL Financial LLCDec 31, 2018 · Other
- Ryan Arthur Weigle to LPL Financial LLCDec 31, 2018 · Other
- Jere C Wise to LPL Financial LLCDec 31, 2018 · Other
- Kenneth A Brown to LPL Financial LLCDec 31, 2018 · Other
- Laura Beth Ahl to Cetera Investment Advisers LLCDec 31, 2018 · Other
- Jeffrey William Evans to LPL Financial LLCDec 31, 2018 · Other
- Keith T Lohm to LPL Financial LLCMar 26, 2018 · Other
- David M Garres to Pruco Securities, LLCMar 5, 2018 · Other
- Nancy Jean Noga to LPL Financial LLCFeb 14, 2018 · Other
- Thomas Raymond Skelton to United Advisors Services, LLCAug 30, 2017 · Other
- Walter Neil Zurowski to LPL Financial LLCMay 22, 2017 · Other
- Drew Adam Ecklund to LPL Financial LLCMar 21, 2017 · Other
- Thomas Andrew Fledderman to Stifel, Nicolaus & Company, IncorporatedMar 21, 2017 · Other
Joined, latest
- William Douglas Mccullough from Citizens Securities, Inc.Mar 23, 2016 · Other
- Ryan Arthur Weigle from Cetera Investment Advisers LLCFeb 4, 2015 · Other
- Keith T Lohm from Cuna Brokerage Services, Inc.Nov 12, 2013 · Other
- David M Garres from Huntington Financial AdvisorsJan 8, 2013 · Other
- Joseph Patrick Colosimo from Obs FinancialOct 31, 2011 · Other
- Drew Adam Ecklund from Obs FinancialOct 31, 2011 · Other
- Brian Scott Liptak from Uvest Financial Services Group, Inc.Oct 31, 2011 · Other
- Toni Lynne Paup from Obs FinancialOct 31, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for LPL Financial LLCDec 31, 2018 · Warren, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Beth Laura Ahl · Chief Compliance Officer/Chief Operations Officer/Secretarycontrolsince 05/2011 · owns less than 5%
- Kent John Beard · President/Board Chairmancontrolsince 04/2016 · owns less than 5%
- Glenn Steven Fisher · Board Membercontrolsince 05/2011 · owns less than 5%
- Walter William Harvey · Board Membercontrolsince 05/2011 · owns less than 5%
- Kevin Richard Laws · Board Membercontrolsince 11/2014 · owns less than 5%
- James Gerald Ritzert · Treasurersince 01/2012 · owns less than 5%
Entity owners
- Northwest Bank · Parent Organizationdirect · owns 75% or more
- Northwest Bancshares, Inc. · Holding Companyindirect · owns 75% or more of Northwest Bank · public reporting company
Related persons
Schedule D 7.A
- Integrated Financial Services, Inc.real estaten
- Northwest Bankn
- Northwest Bankreal estaten
- Northwest Bankn
Advisers that list Northwest Advisors, Inc. as a related person
- 110795 n
Offices
Schedule D 1.F, the 25 largest
- Erie, PA4 employees
- Meadville, PA2 employees
- Cheektowaga, NY1 employees
- Cranberry Township, PA1 employees
- Cranberry Township, PA1 employees
- Ebensburg, PA1 employees
- Franklin, PA1 employees
- Lakewood, NY1 employees
- Lebanon, PA1 employees
- State College, PA1 employees
- Warren, PA1 employees
- Wellsboro, PA1 employees
- Bradford, PA1 employees
- York, PA1 employees
- Bridgeville, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 2,655 to 2,414Mar 21, 2017 to Mar 27, 2018
- Advisory employees · 25 to 22Mar 21, 2017 to Mar 27, 2018
- BD registered reps · 25 to 22Mar 21, 2017 to Mar 27, 2018
- Charity clients · unset to 77.0Mar 21, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Mar 21, 2017 to Mar 27, 2018
- HNW clients · unset to 18.0Mar 21, 2017 to Mar 27, 2018
- Individual clients · unset to 2000.0Mar 21, 2017 to Mar 27, 2018
- Pension plan clients · unset to 5.0Mar 21, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 21, 2017 to Mar 27, 2018
- Employees · 25 to 22Mar 21, 2017 to Mar 27, 2018
- Insurance-licensed employees · 3 to 22Mar 21, 2017 to Mar 27, 2018
- State-registered IARs · 25 to 22Mar 21, 2017 to Mar 27, 2018
- Other offices · unset to 15.0Mar 21, 2017 to Mar 27, 2018
- Discretionary RAUM · $345M to $350MMar 21, 2017 to Mar 27, 2018
- HNW RAUM · unset to 12011794.0Mar 21, 2017 to Mar 27, 2018
- Individual RAUM · unset to 326212105.0Mar 21, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $22.8M to $12.2MMar 21, 2017 to Mar 27, 2018
- Pension RAUM · unset to 8293146.0Mar 21, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 21, 2017 to Mar 27, 2018
- RAUM · $368M to $362MMar 21, 2017 to Mar 27, 2018
- Wrap assets (manager) · unset to 0.0Mar 21, 2017 to Mar 27, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 21, 2017 to Mar 27, 2018
- Accounts · 2,694 to 2,655May 2, 2016 to Mar 21, 2017
- Advisory employees · 36 to 25May 2, 2016 to Mar 21, 2017
- BD registered reps · 32 to 25May 2, 2016 to Mar 21, 2017
- Employees · 40 to 25May 2, 2016 to Mar 21, 2017
- Insurance-licensed employees · 0 to 3May 2, 2016 to Mar 21, 2017
- State-registered IARs · 36 to 25May 2, 2016 to Mar 21, 2017
- Discretionary RAUM · $346M to $345MMay 2, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $15.0M to $22.8MMay 2, 2016 to Mar 21, 2017
- RAUM · $361M to $368MMay 2, 2016 to Mar 21, 2017
- Accounts · 2,401 to 2,694Nov 16, 2015 to Mar 17, 2016
- Advisory employees · 38 to 36Nov 16, 2015 to Mar 17, 2016
- BD registered reps · 30 to 32Nov 16, 2015 to Mar 17, 2016
- Employees · 41 to 40Nov 16, 2015 to Mar 17, 2016
- State-registered IARs · 38 to 36Nov 16, 2015 to Mar 17, 2016
- Discretionary RAUM · $339M to $346MNov 16, 2015 to Mar 17, 2016
- Non-discretionary RAUM · $14.8M to $15.0MNov 16, 2015 to Mar 17, 2016
- RAUM · $354M to $361MNov 16, 2015 to Mar 17, 2016
- Accounts · 1,429 to 2,401Dec 9, 2014 to Feb 3, 2015
Signals
1 dated events
- Northwest Advisors, Inc. filed its initial SEC registration (Form ADV)Nov 15, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026