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.
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SEC-registered adviser
L••••• T•••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Dec 19, 2000
RAUM
$386M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
99%
$381M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$386M as of Mar 12, 2026
Mar 29, 2012$91.3M then
HNW client RAUM$350M as of Mar 12, 2026
Apr 2, 2018$98.7M then
State-registered IARs (5.B.3)3 as of Mar 12, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Mar 12, 2026
May 8, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 4 to 3offices 2 to 4
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $625,239derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $38.9M, 38 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$350M91%
- Individuals$30.8M8.0%
- Corporations and businesses$5.0M1.3%
- Individual clients
- 87reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 617reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.9M for 38 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• G•••• C•••Certified Financial Planner | Alameda, Ca | Aug 14, 2001 | 29 y | 0 |
| M••• T••••• V••••••• | Pebble Beach, Ca | Jun 29, 2020 | 30 y | 0 |
| D•••• J•••• L••••• | Pebble Beach, Ca | Sep 9, 2025 | 30 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• K••••••• G•••• · V.P., Secretary., Directorcontrolsince 02/1999 · owns 50% to 75%
- L•••••• D••••• J•••• · Vice Presidentcontrolsince 02/1999 · owns less than 5%
- V•••••••• M•••• T••••• · President, Chief Compliance Officer, Treasurer, Directorcontrolsince 02/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- K•••••• C•••insurancey
- M••• V•••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pebble Beach, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
- Walnut Creek, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 621 to 617Nov 25, 2025 to Mar 12, 2026
- Advisory employees · 4 to 3Nov 25, 2025 to Mar 12, 2026
- HNW clients · 91 to 97Nov 25, 2025 to Mar 12, 2026
- Individual clients · 81 to 87Nov 25, 2025 to Mar 12, 2026
- Assets in custody · $69.7M to $38.9MNov 25, 2025 to Mar 12, 2026
- State-registered IARs · 4 to 3Nov 25, 2025 to Mar 12, 2026
- Other offices · 5 to 4Nov 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $192M to $225MNov 25, 2025 to Mar 12, 2026
- HNW RAUM · $310M to $350MNov 25, 2025 to Mar 12, 2026
- Individual RAUM · $25.8M to $30.8MNov 25, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $149M to $161MNov 25, 2025 to Mar 12, 2026
- RAUM · $341M to $386MNov 25, 2025 to Mar 12, 2026
- Other offices · 2 to 5Mar 11, 2025 to Aug 7, 2025
- Accounts · 595 to 621Mar 13, 2024 to Mar 11, 2025
- Advisory employees · 3 to 4Mar 13, 2024 to Mar 11, 2025
- Advisory activities · 3 to 2Mar 13, 2024 to Mar 11, 2025
- HNW clients · 97 to 91Mar 13, 2024 to Mar 11, 2025
- Individual clients · 73 to 81Mar 13, 2024 to Mar 11, 2025
- Assets in custody · $40.7M to $69.7MMar 13, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Mar 13, 2024 to Mar 11, 2025
- HQ city · unset to Mar 13, 2024 to Mar 11, 2025
- HQ state · unset to Mar 13, 2024 to Mar 11, 2025
- State-registered IARs · 3 to 4Mar 13, 2024 to Mar 11, 2025
- Other offices · 3 to 2Mar 13, 2024 to Mar 11, 2025
- Discretionary RAUM · $163M to $192MMar 13, 2024 to Mar 11, 2025
- HNW RAUM · $262M to $310MMar 13, 2024 to Mar 11, 2025
- Individual RAUM · $22.3M to $25.8MMar 13, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $127M to $149MMar 13, 2024 to Mar 11, 2025
- RAUM · $289M to $341MMar 13, 2024 to Mar 11, 2025
- HQ state · CA to unsetMar 6, 2023 to Mar 13, 2024
- Accounts · 604 to 595Mar 6, 2023 to Mar 13, 2024
- Advisory employees · 4 to 3Mar 6, 2023 to Mar 13, 2024
- Charity clients · 0.0 to unsetMar 6, 2023 to Mar 13, 2024
- HNW clients · 98 to 97Mar 6, 2023 to Mar 13, 2024
- Individual clients · 78 to 73Mar 6, 2023 to Mar 13, 2024
- Pension plan clients · 0.0 to unsetMar 6, 2023 to Mar 13, 2024
- Pooled vehicle clients · 0.0 to unsetMar 6, 2023 to Mar 13, 2024
- Assets in custody · $51.3M to $40.7MMar 6, 2023 to Mar 13, 2024
- HQ city · SAN FRANCISCO to unsetMar 6, 2023 to Mar 13, 2024
- State-registered IARs · 4 to 3Mar 6, 2023 to Mar 13, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 831-230-6381reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/lowery-thomas-llc/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- L•••••T•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 831-230-6380reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- lowerythomasllc.com/contact-8reportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026