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RIA / WealthAdvisorCertified Financial Planner29 years in industry

ROBERT JAMES DOWLING

Advisor at MODERA WEALTH MANAGEMENT, LLC

WESTWOOD, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 15, 2005 to Sep 14, 2026

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

Current firm: MODERA WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 15, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Nov 15, 1996
First registration: Apr 15, 2005
Dual registered: no
Other names: ROBERT JAMES DOWLING|ROBERT JAMES DOWLING
IAPD individual key: 2789330

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MODERA WEALTH MANAGEMENT, LLC	Independent wealth	Jan 3, 2011	n/a	yes	WESTWOOD, NJ	Current employment
MODERA WEALTH MANAGEMENT	n/a	Mar 3, 2009	Dec 31, 2010	no	WESTWOOD, NJ	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Jul 15, 2005	Dec 2, 2008	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Apr 15, 2005	Jul 20, 2005	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MODERA WEALTH MANAGEMENT	MODERA WEALTH MANAGEMENT, LLC	Dec 31, 2010	Jan 3, 2011	3	Firm change	Other
GUNNALLEN FINANCIAL, INC	MODERA WEALTH MANAGEMENT	Dec 2, 2008	Mar 3, 2009	91	Firm change	Other
B. RILEY WEALTH ADVISORS, INC.	GUNNALLEN FINANCIAL, INC	Jul 20, 2005	Jul 15, 2005	-5	Firm change	Other

Relationships

Registered with (4)

→ MODERA WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 3, 2011 to presentfactForm ADV
→ MODERA WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 3, 2009 to Dec 31, 2010factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Jul 15, 2005 to Dec 2, 2008factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Apr 15, 2005 to Jul 20, 2005factForm ADV

Dated events

No dated event names this entity yet.