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
Harold Oscar Lowe
Feed of 09/14/2026
Also filed as Harold O Lowe
At current firm
0 y
since Nov 6, 2025
In the industry
23 y
since Sep 3, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Monvia Financial L.P. state registered currentsince Nov 6, 2025 · Walnut Creek, Ca
- Whitehall-Parker Securities, Inc. unclassifiedAug 9, 2018 to Jan 8, 2021 · Walnut Creek, Ca
- Osaic Fs, Inc. formerAug 27, 2015 to Feb 15, 2018 · Oakland, Ca
- Transamerica Financial Advisors, LLC BD affiliatedJun 9, 2014 to Mar 23, 2015 · Cedar Rapids, Ia
- Signator Financial Services, Inc. formerJul 29, 2010 to May 30, 2014 · Boston, Ma
- Msi Financial Services, Inc. formerSep 3, 2003 to Oct 25, 2007 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- Whitehall-Parker Securities, Inc. to Monvia Financial L.P.left Jan 8, 2021, registered Nov 6, 2025 (1763 days) · Other · moved with a team
- Osaic Fs, Inc. to Whitehall-Parker Securities, Inc.left Feb 15, 2018, registered Aug 9, 2018 (175 days) · Other
- Transamerica Financial Advisors, LLC to Osaic Fs, Inc.left Mar 23, 2015, registered Aug 27, 2015 (157 days) · Other
- Signator Financial Services, Inc. to Transamerica Financial Advisors, LLCleft May 30, 2014, registered Jun 9, 2014 (10 days) · Other
- Msi Financial Services, Inc. to Signator Financial Services, Inc.left Oct 25, 2007, registered Jul 29, 2010 (1008 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address