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RIA / WealthAdvisor24 years in industry

RICHARD GRAY MOWRER

Advisor at BROOKWOOD INVESTMENT GROUP

PHOENIX, AZ | West Chester, PA

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Search this name across graphsid dfx:ria:e267eae3-5032-0efa-6d03-6071481d4907

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2017 to Sep 15, 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: BROOKWOOD INVESTMENT GROUP
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: Jun 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 15, 2017
First registration: Nov 15, 2017
Dual registered: no
Other names: Richard Mowrer|RICHARD GRAY MOWRER
IAPD individual key: 6841912

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
BROOKWOOD INVESTMENT GROUP	Independent wealth	Jan 6, 2025	n/a	yes	West Chester, PA\|PHOENIX, AZ	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 26, 2021	May 26, 2023	no	WEST CHESTER, PA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 23, 2020	Apr 27, 2021	no	NEWTOWN SQUARE, PA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jul 31, 2019	Feb 20, 2020	no	CAMP HILL, PA\|Exton, PA	Previous registration
BLUESTONE CAPITAL MANAGEMENT, LLC	Asset manager	Nov 15, 2017	May 24, 2018	no	WAYNE, PA	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	BROOKWOOD INVESTMENT GROUP	May 26, 2023	Jan 6, 2025	591	Firm change after gap	Ibd to RIA
MML INVESTORS SERVICES, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Apr 27, 2021	Jul 26, 2021	90	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	MML INVESTORS SERVICES, LLC	Feb 20, 2020	Mar 23, 2020	32	Firm change	Ibd to ibd
BLUESTONE CAPITAL MANAGEMENT, LLC	PRUCO SECURITIES, LLC	May 24, 2018	Jul 31, 2019	433	Firm change after gap	Other

Relationships

Registered with (5)

→ BROOKWOOD INVESTMENT GROUPRegistered adviserregistration: current employment
Jan 6, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 26, 2021 to May 26, 2023factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 23, 2020 to Apr 27, 2021factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 31, 2019 to Feb 20, 2020factForm ADV
→ BLUESTONE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 15, 2017 to May 24, 2018factForm ADV

Dated events

Occurred
May 26, 2023
Advisor changed firm
Richard Gray Mowrer left Fidelity Personal And Workplace Advisors for Brookwood Investment Group (registered 2025-01-06)
Form ADVobserved 6 days ago