DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Thomas M Dowling
Certified Financial Planner · Chartered Financial Analyst
Feed of 09/15/2026
At current firm
5 y
since Jun 30, 2021
In the industry
31 y
since Jan 5, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
8
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A.G.P / Alliance Global Partners independent RIA currentsince Jun 30, 2021 · Hilton Head, Sc
- Aegis Capital Corp. BD affiliatedJun 27, 2017 to Jul 21, 2021 · Hilton Head Island, Sc
- Fsc Securities Corporation formerMar 15, 2017 to Jun 30, 2017 · Bluffton, Sc
- Aegis Capital Corp. BD affiliatedMar 24, 2010 to Mar 16, 2017 · New York, Ny
- Gunnallen Financial, Inc unclassifiedSep 29, 2005 to Mar 29, 2010 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Aegis Capital Corp. to A.G.P / Alliance Global Partnersleft Jul 21, 2021, registered Jun 30, 2021 (-21 days) · Affiliated broker-dealer or bank to independent RIA
- Fsc Securities Corporation to Aegis Capital Corp.left Jun 30, 2017, registered Jun 27, 2017 (-3 days) · Other
- Aegis Capital Corp. to Fsc Securities Corporationleft Mar 16, 2017, registered Mar 15, 2017 (-1 days) · Other
- Gunnallen Financial, Inc to Aegis Capital Corp.left Mar 29, 2010, registered Mar 24, 2010 (-5 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address