LD LOWE WEALTH ADVISORY
L.D. LOWE WEALTH ADVISORY, INC. Legal Name
Adviser information for LD LOWE WEALTH ADVISORY last updated from Form ADV on March 10th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 660 | $109.8M |
| Non-Discretionary | 0 | $0 |
| Total | 660 | $109.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 238 | $75.5M |
| HNW Individuals | 23 | $34.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesCONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | TAX PREPARATION SERVICES |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 109.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTH MANAGEMENT | LD LOWE WEALTH ADVISORY |
Identifiers
| SEC RIA File Number | 801-64775 |
|---|---|
| SEC ERA File Number | 801-64775 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136596 |
| Legal Entity Identifier | None |
Principal Office
1100 EAST CAMPBELL ROADSUITE 200
RICHARDSON
TX
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 972-335-2523, Fax: 972-335-6335
Chief Compliance Officer
TAYLOR BREWER
1100 EAST CAMPBELL ROAD
SUITE 200
RICHARDSON
TX
United States
Tel:
972-335-2523
Fax:
972-335-6335
T*****@*************M
(Full email address available in API data)
Regulatory Contact
MOLLY MCCARTHY
SENIOR MANAGER
1100 EAST CAMPBELL ROAD
SUITE 200
RICHARDSON
TX
United States
Tel:
972-335-2523
Fax:
972-335-6335
M****@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCCARTHY, MOLLY, RENEE | Individual | – | CHIEF FINANCIAL OFFICER AND SENIOR MANAGER | 12/2019 | 25-50% |
| Brewer, Taylor, Nicole | Individual | – | CHIEF OPERATIONS OFFICER AND CHIEF COMPLIANCE OFFICER (CCO AS OF 5/2023) | 12/2019 | 25-50% |