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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HOWLAND AND ASSOCIATES, LLC

CRD 106963

ST PETERSBURG, FL

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:12911e42-024b-62c8-442e-4b51ec72de7f

Data as of Aug 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Aug 11, 2026
4 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $139MItem 5.F on the latest filing (2026-08-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $139M
Private client RAUM: $136MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $34.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 67
Individual clients: 21
High net worth clients: 42
SEC number: 801-136782
CRD: 106963
Filings on the tape: 4
First filed: Mar 30, 2012
Latest filed: Aug 11, 2026
Organised: Limited Liability Company, FL

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
Ross Markham Thomas	n/a	Saint Petersburg, FL	5	16	n/a	no
ROBERT CHARLES HOWLAND	Certified Financial Planner	ST PETERSBURG, FL	4	19	n/a	no
Alex L Tavares	n/a	ST PETERSBURG, FL	2	19	n/a	no
DORIS SHEPPARD HOWLAND	Chartered Financial Analyst	ST PETERSBURG, FL	0	33	2	no

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
HOWLAND, DORIS, SHEPPARD	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	01/2004	Mar 30, 2012	Sep 28, 2012

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
2011	Mar 30, 2012	$44.7M	$44.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	25.0%	0	0	0	1	2

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
2011	$139M	n/a	n/a	n/a	n/a	5	n/a	0	n/a

Relationships

Registered with (6)

← DORIS SHEPPARD HOWLANDAdvisorregistration: previous registration
Mar 9, 1993 to Dec 31, 2025factForm ADV
← Alex L TavaresAdvisorregistration: current employment
Aug 7, 2024 to presentfactForm ADV
← ROBERT CHARLES HOWLANDAdvisorregistration: current employment
Dec 22, 2021 to presentfactForm ADV
← Ross Markham ThomasAdvisorregistration: current employment
May 18, 2021 to presentfactForm ADV
← Chloe Merle HillAdvisorregistration: previous registration
Apr 14, 2022 to Sep 3, 2024factForm ADV
← JANICE JACOBY FRENCHAdvisorregistration: previous registration
Oct 15, 1996 to Sep 23, 2009factForm ADV

Controls (1)

← HOWLAND, DORIS, SHEPPARDOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to Sep 28, 2012factForm ADV

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
Doris Sheppard Howland left Howland And Associates, Llc for Howland Partners, Llc (registered 2002-09-30)
Form ADVobserved 4 days ago
Occurred
Sep 3, 2024
Advisor changed firm
Chloe Merle Hill left Howland And Associates, Llc for Raymond James Financial Services Advisors, Inc (registered 2024-09-06)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12911e42-024b-62c8-442e-4b51ec72de7f
First observed: Mar 30, 2012
Last observed: Aug 11, 2026 39 days 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.

HOWLAND AND ASSOCIATES, LLC

CRD 106963

ST PETERSBURG, FL

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:12911e42-024b-62c8-442e-4b51ec72de7f

Data as of Aug 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:18 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Ross Markham Thomas

n/a

Saint Petersburg, FL

n/a

ROBERT CHARLES HOWLAND

Certified Financial Planner

ST PETERSBURG, FL

n/a

Alex L Tavares

n/a

ST PETERSBURG, FL

n/a

DORIS SHEPPARD HOWLAND

Chartered Financial Analyst

ST PETERSBURG, FL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOWLAND, DORIS, SHEPPARD

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

01/2004

Mar 30, 2012

Sep 28, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$44.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

25.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$139M

n/a