Joseph M. Dowling

THE DOWLING GROUP WEALTH MANAGEMENT

Greenwich, CT 06878

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CRD#: 4649970

Professional summary

Joseph Michael Dowling is a registered financial advisor currently at THE DOWLING GROUP WEALTH MANAGEMENT located in Greenwich, Connecticut.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Joseph has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Dowling's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 7, 2019 - Present

THE DOWLING GROUP WEALTH MANAGEMENT

Office #1: 1171 E. Putnam Avenue, #1b, Greenwich, CT 06878

RIA

CRD#: 155624

Greenwich, CT

Past

January 4, 2011 - December 31, 2018

THE DOWLING GROUP WEALTH MANAGEMENT

RIA

CRD#: 155624

GREENWICH, CT

Past

March 16, 1989 - January 24, 2011

THE DOWLING GROUP, FINANCIAL COUNSELLORS

RIA

CRD#: 126056

STAMFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE DOWLING GROUP WEALTH MANAGEMENT

DFS | THE DOWLING GROUP WEALTH MANAGEMENT | THE DOWLING GROUP | DOWLING FINANCIAL SERVICES, INC

CRD#: 155624 / SEC#: 801-130694

RIA

Registered Investment Advisory firm - (7/23/2024 Approved)

Connecticut

Registered Investment Advisory firm - (9/17/2024 Terminated)

New York

Registered Investment Advisory firm - (8/27/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/7/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

THE DOWLING GROUP WEALTH MANAGEMENT

DFS | THE DOWLING GROUP WEALTH MANAGEMENT | THE DOWLING GROUP | DOWLING FINANCIAL SERVICES, INC

CRD#: 155624 / SEC#: 801-130694

RIA

Registered Investment Advisory firm - (7/23/2024 Approved)

Connecticut

Registered Investment Advisory firm - (9/17/2024 Terminated)

New York

Registered Investment Advisory firm - (8/27/2024 Terminated)

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Contact information

Main Address

1171 E. Putnam Avenue, #1b, Greenwich, CT 06878

Mailing Address

Phone number

(203) 967-2231

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DOWLING GROUP FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 165,628,233

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/17/2025	Cover Page	Report
09/03/2024	Cover Page	Report
03/06/2024	Cover Page	Report
12/12/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Joseph M. Dowling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Dowling's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE DOWLING GROUP WEALTH MANAGEMENT

THE DOWLING GROUP WEALTH MANAGEMENT

THE DOWLING GROUP, FINANCIAL COUNSELLORS

Primary Firm SEC Registration

THE DOWLING GROUP WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Current Firm

THE DOWLING GROUP WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE DOWLING GROUP WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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