Thomas Lennox

VELA INVESTMENT MANAGEMENT

New Albany, OH 43054

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CRD#: 7391410

Professional summary

Thomas Lennox is a registered financial advisor currently at VELA INVESTMENT MANAGEMENT, LLC located in New Albany, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Thomas has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Consulting DIB New Albany, Ohio provides consulting services President No relationship with VELA Investment Management 03/2015 1 hour per week not usually during securities trading hours provide consulting services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lennox's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 10, 2023 - Present

VELA INVESTMENT MANAGEMENT, LLC

Office #1: 220 Market Street Suite 208, New Albany, OH 43054

RIA

CRD#: 306678

New Albany, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VELA INVESTMENT MANAGEMENT, LLC

R H DILLON LLC | VELA INVESTMENT MANAGEMENT, LLC

CRD#: 306678 / SEC#: 801-119022

RIA

Registered Investment Advisory firm - (7/15/2020 Approved)

Florida

Registered Investment Advisory firm - (7/31/2020 Terminated)

Ohio

Registered Investment Advisory firm - (8/5/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(10/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/2023

Uniform Investment Adviser Law Examination

Current Firm

VELA INVESTMENT MANAGEMENT, LLC

R H DILLON LLC | VELA INVESTMENT MANAGEMENT, LLC

CRD#: 306678 / SEC#: 801-119022

RIA

Registered Investment Advisory firm - (7/15/2020 Approved)

Florida

Registered Investment Advisory firm - (7/31/2020 Terminated)

Ohio

Registered Investment Advisory firm - (8/5/2020 Terminated)

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Contact information

Main Address

220 Market Street Suite 208, New Albany, OH 43054

Mailing Address

Phone number

(614) 653-8352

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV - PART 2A - 05-25 (5/8/2025)

Regulatory assets under management

Total Number of Accounts	318
AUM (Assets Under Management)	$ 486,248,768

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas Lennox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lennox's CRS (Customer Relationship Summary).

Certified licenses

Experience

VELA INVESTMENT MANAGEMENT, LLC

Primary Firm SEC Registration

VELA INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2023

Current Firm

VELA INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VELA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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