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.
Former SEC-registered adviser
Lowe Wealth Advisors, LLC
Latest filing Mar 5, 2025
First filing on the tape Mar 27, 2012 · 28 filings
SEC status approved since Jun 22, 2011
RAUM
$460M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$455M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$460M as of Mar 5, 2025
Mar 27, 2012$148M then
HNW client RAUM$372M as of Mar 5, 2025
Mar 28, 2018$182M then
State-registered IARs (5.B.3)6 as of Mar 5, 2025
Mar 26, 20134 then
Employees (5.A)9 as of Mar 5, 2025
Mar 26, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+4.6% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 5, 2025; every figure names its basis
- RAUM per advisor
- $76.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $332,522derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $61.2M, 93 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$372M81%
- Individuals$83.4M18%
- Charitable organizations$5.2M1.1%
- Individual clients
- 251reported
- HNW clients
- 164reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,384reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $61.2M for 93 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
6 left, 0 joined in 12 months
net -6 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- David Laurence Kasten to Mai Capital Management, LLCDec 17, 2025 · RIA to RIA
- Gregory Alan Lowe to Mai Capital Management, LLCDec 17, 2025 · RIA to RIA
- Bradley Alan Williams to Mai Capital Management, LLCDec 17, 2025 · RIA to RIA
- Joshua Martin Sacks to Mai Capital Management, LLCDec 17, 2025 · RIA to RIA
- Jennifer Ann Kutchey to Mai Capital Management, LLCDec 17, 2025 · RIA to RIA
- Harold Alan Lowe to Mai Capital Management, LLCDec 17, 2025 · RIA to RIA
Joined, latest
- Bradley Alan Williams from Wilmington Trust Investment Advisors, Inc.Dec 23, 2014 · Other
- Jennifer Ann Kutchey from Morgan StanleyJan 13, 2012 · Other
- David Laurence Kasten from Lowe FsNov 24, 2011 · Other
- Gregory Alan Lowe from Lowe FsNov 24, 2011 · Other
- Harold Alan Lowe from Lowe FsNov 24, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Mai Capital Management, LLCDec 17, 2025 · Columbia, Md · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Gregory Lowe · Chief Compliance Officer And Vice Presidentcontrolsince 05/2011 · owns less than 5%
- Alan Harold Lowe · Presidentcontrolsince 05/2011 · owns less than 5%
- Alan Bradley Williams · Chief Investment Officercontrolsince 01/2015 · owns less than 5%
- Alan Gregory Lowe · Vice President / Shareholdercontrolsince 01/2015 · owns 25% to 50% of Lowe & Associates Financial Services, Ltd
- Alan Harold Lowe · President / Shareholdercontrolsince 06/1994 · owns 75% or more of Lowe & Associates Financial Services, Ltd
Entity owners
- Lowe & Associates Financial Services, Ltd · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbia, Md · principal | 0 | 0 | 6 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,313 to 1,384Nov 20, 2024 to Mar 5, 2025
- HNW clients · 128 to 164Nov 20, 2024 to Mar 5, 2025
- Individual clients · 271 to 251Nov 20, 2024 to Mar 5, 2025
- Assets in custody · $49.3M to $61.2MNov 20, 2024 to Mar 5, 2025
- Financial planning clients · 251-500 to 251-500Nov 20, 2024 to Mar 5, 2025
- Discretionary RAUM · $388M to $443MNov 20, 2024 to Mar 5, 2025
- HNW RAUM · $296M to $372MNov 20, 2024 to Mar 5, 2025
- Individual RAUM · $103M to $83.4MNov 20, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $15.4M to $17.1MNov 20, 2024 to Mar 5, 2025
- RAUM · $403M to $460MNov 20, 2024 to Mar 5, 2025
- Accounts · 1,306 to 1,313Mar 13, 2023 to Mar 23, 2024
- HNW clients · 114 to 128Mar 13, 2023 to Mar 23, 2024
- Individual clients · 274 to 271Mar 13, 2023 to Mar 23, 2024
- Assets in custody · $38.8M to $49.3MMar 13, 2023 to Mar 23, 2024
- Other offices · 0 to 5Mar 13, 2023 to Mar 23, 2024
- Discretionary RAUM · $356M to $388MMar 13, 2023 to Mar 23, 2024
- HNW RAUM · $256M to $296MMar 13, 2023 to Mar 23, 2024
- Individual RAUM · $105M to $103MMar 13, 2023 to Mar 23, 2024
- Non-discretionary RAUM · $9.1M to $15.4MMar 13, 2023 to Mar 23, 2024
- RAUM · $365M to $403MMar 13, 2023 to Mar 23, 2024
- Accounts · 1,286 to 1,306Dec 2, 2022 to Mar 8, 2023
- HNW clients · 136 to 114Dec 2, 2022 to Mar 8, 2023
- Individual clients · 242 to 274Dec 2, 2022 to Mar 8, 2023
- Assets in custody · $37.3M to $38.8MDec 2, 2022 to Mar 8, 2023
- Discretionary RAUM · $392M to $356MDec 2, 2022 to Mar 8, 2023
- HNW RAUM · $310M to $256MDec 2, 2022 to Mar 8, 2023
- Individual RAUM · $87.9M to $105MDec 2, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $9.8M to $9.1MDec 2, 2022 to Mar 8, 2023
- RAUM · $402M to $365MDec 2, 2022 to Mar 8, 2023
- Accounts · 1,250 to 1,286Mar 4, 2021 to Mar 7, 2022
- HNW clients · 127 to 136Mar 4, 2021 to Mar 7, 2022
- Individual clients · 243 to 242Mar 4, 2021 to Mar 7, 2022
- Discretionary RAUM · $353M to $392MMar 4, 2021 to Mar 7, 2022
- HNW RAUM · $267M to $310MMar 4, 2021 to Mar 7, 2022
- Individual RAUM · $89.0M to $87.9MMar 4, 2021 to Mar 7, 2022
- Non-discretionary RAUM · $9.0M to $9.8MMar 4, 2021 to Mar 7, 2022
- Pension RAUM · 2297449.0 to unsetMar 4, 2021 to Mar 7, 2022
- RAUM · $362M to $402MMar 4, 2021 to Mar 7, 2022
- Accounts · 1,189 to 1,250Jun 18, 2020 to Mar 3, 2021
- HNW clients · 116 to 127Jun 18, 2020 to Mar 3, 2021
Signals
9 dated events
- Lowe Wealth Advisors, Llc no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $460.2M)Jan 2, 2026 · Left the SEC roster · derived
- Jennifer Ann Kutchey left Lowe Wealth Advisors, Llc for Mai Capital Management, Llc (registered 2025-12-18)Dec 17, 2025 · Advisor changed firm · fact
- David Laurence Kasten left Lowe Wealth Advisors, Llc for Mai Capital Management, Llc (registered 2025-12-18)Dec 17, 2025 · Advisor changed firm · fact
- Harold Alan Lowe left Lowe Wealth Advisors, Llc for Mai Capital Management, Llc (registered 2025-12-18)Dec 17, 2025 · Advisor changed firm · fact
- Gregory Alan Lowe left Lowe Wealth Advisors, Llc for Mai Capital Management, Llc (registered 2025-12-17)Dec 17, 2025 · Advisor changed firm · fact
- Bradley Alan Williams left Lowe Wealth Advisors, Llc for Mai Capital Management, Llc (registered 2025-12-16)Dec 17, 2025 · Advisor changed firm · fact
- Joshua Martin Sacks left Lowe Wealth Advisors, Llc for Mai Capital Management, Llc (registered 2025-12-18)Dec 17, 2025 · Advisor changed firm · fact
- Lowe Wealth Advisors, LLC's advisors moved to Mai Capital Management, LLC (Columbia, MD): 6 of 6 registered, on the same dayDec 17, 2025 · Firm absorbed (people side) · derived
- Lowe Wealth Advisors, Llc reported 5 offices beyond its principal office, up from 0 (2023-03-13 to 2024-03-23)Mar 23, 2024 · Office count change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026