SourcingSourcing

DOWLING FINANCIAL SERVICES, INC

B62
CRD 155624·SEC 801-130694·GREENWICH, CT
AUM
$179.3M
$100M-$500M
Est. Revenue
$1.8M
@ 1% on AUM
Est. EBITDA
$538K
@ 30% margin
Est. Deal Value
$4.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
DOWLING FINANCIAL SERVICES, INC
CRD
155624
SEC file #
801-130694
EIN
—
DBA names
The Dowling Group Wealth Management

Economics

AUM
$179.3M
AUM band
$100M-$500M
AUM trajectory
'25'26
$165.6M → $179.3M▲ +8%
Client mix
Individuals Other301
Individuals High Net Worth20
Pension Profit Sharing Plans2
State Or Municipal Govt1

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
2 advisors → 2 advisors▬ 0%
Primary office
GREENWICH CT
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/19/2026
ADV-W filed at
—
Website
thedowlinggroup.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
DOWLING, SEAN, MICHAEL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
DOWLING, SEAN, MICHAEL
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
THEDOWLINGGROUP.COM
Rdap Domain Creation Date
1996-10-25T04:00:00Z
Rdap Firm Age Years
30
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.5889
Soi Zip Pct 200k Plus
0.4642
Soi Zip Returns 200k Plus
1,750
Soi Zip Total AGI
2,982,926
Fdic Zip Total Deposits
9,149,655,000
Fdic Zip Branch Count
79
Fdic Zip Top Banks
JPMorgan Chase Bank, National Association
Jpmorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Fidelity4
E*trade4
Fdic Zip Branches Raw
The Putnam Trust Company of GreenwichRiverside, CT
The Putnam Trust Company of GreenwichRiverside, CT
Fdic Zip HHI
2657.12
Fdic Zip Top Bank Share Pct
47.42
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-10-24T04:00:00Z
Rdap Domain Last Changed
2025-10-24T17:18:29Z
Rdap Nameservers
Ns21.domaincontrol.comNs22.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI6,788
Returns750
Stub 2
AGI11,899
Returns320
Stub 3
AGI16,368
Returns270
Soi Zip Total Business Income
59,645
Soi Zip Total Cap Gains
718,249
Soi Zip Total Dividends
215,147
Soi Zip Total Returns
3,770
Top Owner CRD
5746392
Trust Company Affiliate
No

People (2)

2
DOWLING, SEAN, MICHAEL
IAR · Direct Owner · 87.5%
5746392
JOSEPH MICHAEL DOWLING
IAR
4649970