LEWIS FINANCIAL MANAGEMENT, LLC
Adviser information for LEWIS FINANCIAL MANAGEMENT, LLC last updated from Form ADV on March 27th, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 4 |
| 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 | 0 | $0 |
| Non-Discretionary | 136 | $415.3M |
| Total | 136 | $415.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $9.5M |
| HNW Individuals | 126 | $405.7M |
| 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 | 46 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-60666 |
|---|---|
| SEC ERA File Number | 801-60666 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 116344 |
| Legal Entity Identifier | None |
Principal Office
1611 EAST MILLBROOK ROADRALEIGH
NC
United States
Monday - Friday, 8:00-5:30
Tel: 919-872-7000, Fax: 919-872-7004
Chief Compliance Officer
DOUGLAS J. LEWIS, CFP
MANAGING MEMBER
1611 EAST MILLBROOK ROAD
RALEIGH
NC
United States
Tel:
919-872-7000
Fax:
919-872-7004
D*****@*************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 |
|---|---|---|---|---|---|
| LEWIS, DOUGLAS, JOEL | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 10/2004 | 50-75% |
| LEWIS, LINDA, PEREZ | Individual | – | MEMBER | 02/2001 | 50-75% |