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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

LOWERY THOMAS, LLC

CRD 110058

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:a6ba8e82-6205-2edf-656b-40e72c096db0

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 12, 2026
22 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $386MItem 5.F on the latest filing (2026-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $225M
Private client RAUM: $381MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $129Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 3
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 617
Individual clients: 87
High net worth clients: 97
Custody, client assets: $38.9M
SEC number: 801-58206
CIK: 1919701
CRD: 110058
Filings on the tape: 22
First filed: Mar 29, 2012
Latest filed: Mar 12, 2026
Organised: Limited Liability Company, CA
Website: lowerythomas.com

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
KENNETH GRANT CALA	Certified Financial Planner	Alameda, CA \| KING OF PRUSSIA, PA \| PEBBLE BEACH, CA	25	29	n/a	no
MARK THOMAS VICENCIO	n/a	Pebble Beach, CA \| PEBBLE BEACH, CA	6	30	n/a	no
DAVID JAMES LOWERY	n/a	PEBBLE BEACH, CA \| WALNUT CREEK, CA	1	30	n/a	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
CALA, KENNETH, GRANT	V.P., SECRETARY., DIRECTOR	D	yes	02/1999	Mar 29, 2012	Mar 13, 2024
LOWERY, DAVID, JAMES	VICE PRESIDENT	Na	yes	02/1999	Mar 29, 2012	Mar 13, 2024
VICENCIO, MARK, THOMAS	PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, DIRECTOR	D	yes	02/1999	Mar 29, 2012	Mar 13, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
KENNETH CALA	n/a	n/a	n/a	Y	yes	n/a
MARK VICENCIO	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	1	no
WALNUT CREEK	CA	United States	1	no
n/a	n/a	n/a	1	no

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
2025	Mar 12, 2026	$386M	$225M	6	3	4	n/a	n/a
2024	Mar 11, 2025	$341M	$192M	6	4	2	n/a	n/a
2023	Mar 13, 2024	$289M	$163M	6	3	3	n/a	n/a
2022	Mar 6, 2023	$263M	$139M	6	4	2	n/a	n/a
2021	Mar 18, 2022	$314M	$171M	5	4	1	n/a	n/a
2020	Mar 28, 2021	$246M	$120M	5	4	1	n/a	n/a
2019	Mar 25, 2020	$216M	$216M	5	4	1	n/a	n/a
2018	Mar 30, 2019	$189M	$75.4M	5	4	3	n/a	n/a
2017	Apr 2, 2018	$185M	$58.3M	4	4	3	n/a	n/a
2016	Feb 1, 2017	$150M	$44.0M	4	4	n/a	n/a	n/a
2015	Mar 31, 2016	$132M	$0	3	3	n/a	n/a	n/a
2014	Apr 27, 2015	$142M	$0	3	3	n/a	n/a	n/a
2013	Feb 27, 2014	$143M	$0	3	3	n/a	n/a	n/a
2012	May 8, 2013	$105M	$0	3	3	n/a	n/a	n/a
2011	Mar 29, 2012	$91.3M	$0	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
0	0	0	0.0%	0	0	0	0	0

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
2025	$386M	$341M	13.1%	$263M	13.6%	6	6	4	2

Relationships

Registered with (3)

← DAVID JAMES LOWERYAdvisorregistration: current employment
Sep 9, 2025 to presentfactForm ADV
← MARK THOMAS VICENCIOAdvisorregistration: current employment
Jun 29, 2020 to presentfactForm ADV
← KENNETH GRANT CALAAdvisorregistration: current employment
Aug 14, 2001 to presentfactForm ADV

Controls (3)

← LOWERY, DAVID, JAMESOwnerVICE PRESIDENT, ownership code NA, individual
Mar 29, 2012 to Mar 13, 2024factForm ADV
← VICENCIO, MARK, THOMASOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, DIRECTOR, ownership code D, individual
Mar 29, 2012 to Mar 13, 2024factForm ADV
← CALA, KENNETH, GRANTOwnerV.P., SECRETARY., DIRECTOR, ownership code D, individual
Mar 29, 2012 to Mar 13, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6ba8e82-6205-2edf-656b-40e72c096db0
First observed: Mar 29, 2012
Last observed: Mar 12, 2026 6 months 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.

LOWERY THOMAS, LLC

CRD 110058

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:a6ba8e82-6205-2edf-656b-40e72c096db0

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KENNETH GRANT CALA

Certified Financial Planner

Alameda, CA | KING OF PRUSSIA, PA | PEBBLE BEACH, CA

n/a

MARK THOMAS VICENCIO

n/a

Pebble Beach, CA | PEBBLE BEACH, CA

n/a

DAVID JAMES LOWERY

n/a

PEBBLE BEACH, CA | WALNUT CREEK, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CALA, KENNETH, GRANT

V.P., SECRETARY., DIRECTOR

yes

02/1999

Mar 29, 2012

Mar 13, 2024

LOWERY, DAVID, JAMES

VICE PRESIDENT

yes

02/1999

Mar 29, 2012

Mar 13, 2024

VICENCIO, MARK, THOMAS

PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, DIRECTOR

yes

02/1999

Mar 29, 2012

Mar 13, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KENNETH CALA

n/a

yes

n/a

MARK VICENCIO

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

WALNUT CREEK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 12, 2026

$386M

$225M

n/a

2024

Mar 11, 2025

$341M

$192M

n/a

2023

Mar 13, 2024

$289M

$163M

n/a

2022

Mar 6, 2023

$263M

$139M

n/a

2021

Mar 18, 2022

$314M

$171M

n/a

2020

Mar 28, 2021

$246M

$120M

n/a

2019

Mar 25, 2020

$216M

n/a

2018

Mar 30, 2019

$189M

$75.4M

n/a

2017

Apr 2, 2018

$185M

$58.3M

n/a

2016

Feb 1, 2017

$150M

$44.0M

n/a

2015

Mar 31, 2016

$132M

n/a

2014

Apr 27, 2015

$142M

n/a

2013

Feb 27, 2014

$143M

n/a

2012

May 8, 2013

$105M

n/a

2011

Mar 29, 2012

$91.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$386M

$341M

13.1%

$263M

13.6%