LOWERY THOMAS, LLC
Adviser information for LOWERY THOMAS, LLC last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 310 | $162.6M |
| Non-Discretionary | 285 | $126.6M |
| Total | 595 | $289.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 73 | $22.3M |
| HNW Individuals | 97 | $262.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $5.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
3975 RONDA ROADPEBBLE BEACH
CA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 831-230-6380, Fax: None
Chief Compliance Officer
MARK VICENCIO
PRESIDENT
3975 RONDA ROAD
PEBBLE BEACH
CA
United States
Tel:
831-230-6380
M****@***************M
(Full email address available in API data)
Industry Affiliates
| KENNETH G. CALA, CPA | Accountant or accounting firm |
| MARK T. VICENCIO, CPA | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CALA, KENNETH, GRANT | Individual | – | V.P., SECRETARY., DIRECTOR | 02/1999 | 50-75% |
| LOWERY, DAVID, JAMES | Individual | – | VICE PRESIDENT | 02/1999 | < 5% |
| VICENCIO, MARK, THOMAS | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, DIRECTOR | 02/1999 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMAZON COM INC | COM | 501K | 3K | – |
| INVESCO QQQ TR | UNIT SER 1 | 7M | 14K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 897K | 4K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 2M | 6K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 8M | 14K | – |
| PACER FDS TR | US CASH COWS 100 | 292K | 5K | – |
| ISHARES TR | RUS 2000 VAL ETF | 1M | 10K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 775K | 16K | – |
| ISHARES TR | RUS 1000 GRW ETF | 5M | 15K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 2M | 24K | – |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 16M | 162K | – |
| MICROSOFT CORP | COM | 554K | 1K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 333K | 1K | – |
| SCHWAB STRATEGIC TR | SHT TM US TRES | 6M | 123K | – |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 5M | 71K | – |
| GLOBAL X FDS | ARTIFICIAL ETF | 497K | 14K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 13M | 27K | – |
| SPDR SER TR | S&P 600 SMCP GRW | 416K | 5K | – |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 1M | 14K | – |
| VANGUARD ADMIRAL FDS INC | 500 VAL IDX FD | 1M | 6K | – |
| ISHARES TR | RUSSELL 2000 ETF | 971K | 5K | – |
| VANGUARD ADMIRAL FDS INC | SMLCP 600 VAL | 615K | 7K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 4M | 65K | – |
| VANGUARD ADMIRAL FDS INC | SMLCP 600 GRTH | 3M | 27K | – |
| INVESCO EXCHANGE TRADED FD T | S&P MDCP MOMNTUM | 3M | 26K | – |
| INVESCO EXCHANGE TRADED FD T | S&P SMLCP MOMENT | 943K | 16K | – |
| ISHARES TR | RUS MD CP GR ETF | 3M | 25K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 9M | 44K | – |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 2M | 7K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 5M | 17K | – |
| META PLATFORMS INC | CL A | 382K | 757 | – |
| INVESCO EXCHANGE TRADED FD T | S&P SMCP VLU MNT | 1M | 21K | – |
| NVIDIA CORPORATION | COM | 711K | 6K | – |
| ISHARES TR | RUS 2000 GRW ETF | 4M | 16K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US L | 7M | 109K | – |
| ISHARES TR | ISHARES SEMICDTR | 215K | 870 | – |
| PROSHARES TR | PSHS ULTRA QQQ | 344K | 3K | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 374K | 2K | – |
| KLA CORP | COM NEW | 832K | 1K | – |
| ALPHABET INC | CAP STK CL C | 209K | 1K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 3M | 32K | – |
| SPDR SER TR | PRTFLO S&P500 VL | 1M | 24K | – |
| APPLE INC | COM | 2M | 8K | – |
| ISHARES TR | RUS 1000 ETF | 5M | 16K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 9M | 94K | – |
| ISHARES TR | RUS 1000 VAL ETF | 734K | 4K | – |