LVW ADVISORS, LLC

Adviser information for LVW ADVISORS, LLC last updated from Form ADV on March 28th, 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 Delaware, United States

Employees

Total Number of Employees 19
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,293 $1.6B
Non-Discretionary 223 $552.9M
Total 2,516 $2.1B

Clients

Type Number RAUM
Individuals 246 $94.3M
HNW Individuals 212 $1.2B
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 <5 $4.0M
Charitable organizations 10 $229.2M
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 12 $591.3M
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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)CREDIT AND CASH MANAGEMENT SOLUTIONS, INSURANCE SOLUTIONS
Compensation % of AUMFixed fees
Other Business Activities Insurance broker or agentCREDIT AND CASH MGMT SOLUTIONS, INSURANCE SOLUTION

Identifiers

SEC RIA File Number 801-72830
SEC ERA File Number 801-72830
SEC CIK Numbers 1576053
SEC CRD Numbers 159403
Legal Entity Identifier None

Principal Office

67B MONROE AVENUE
PITTSFORD
NY
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 585-267-4900, Fax: 585-385-1781

Chief Compliance Officer

JOSEPH ZAPPIA
CHIEF COMPLIANCE OFFICER
67B MONROE AVENUE
PITTSFORD
NY
United States
Tel: (585) 267-4951
(Full email address available in API data)

Regulatory Contact

MOLLY BREEN
COMPLIANCE MANAGER
67B MONROE AVENUE
PITTSFORD
NY
United States
Tel: (585) 267-4915
(Full email address available in API data)

Industry Affiliates

BUCKINGHAM STRATEGIC WEALTH, LLC Other investment adviser, including financial planners
FOCUS RISK SOLUTIONS, LLC Insurance company or agency
SCS CAPITAL MANAGEMENT LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
THE COLONY GROUP, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
VAN DUSEN, LORI, ANN Individual CHIEF EXECUTIVE OFFICER 10/2011 < 5%
ZAPPIA, JOSEPH, PATRICK Individual PRINCIPAL AND CHIEF COMPLIANCE OFFICER 05/2014 < 5%
LVW FLYNN, LLC Domestic Entity MEMBER (MANAGER) 01/2017 > 75%
FOCUS FINANCIAL PARTNERS, LLC Domestic Entity FOCUS OPERATING, LLC MEMBER 01/2007 > 75%
FOCUS OPERATING, LLC Domestic Entity LVW FLYNN, LLC MEMBER 01/2017 > 75%
FOCUS FINANCIAL PARTNERS INC Domestic Entity FOCUS FINANCIAL PARTNERS, LLC MEMBER 07/2018 > 75%
PUGLIESE, KIM, CONGDON Individual CHIEF OPERATING OFFICER 02/2019 < 5%
WAGNER, JEFFREY, REED Individual SENIOR PARTNER AND PRINCIPAL 01/2023 < 5%
FERDINAND FFP ACQUISITION, LLC Domestic Entity FOCUS FINANCIAL PARTNERS INC SHAREHOLDER, CLASS A COMMON STOCK 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FOCUS FINANCIAL PARTNERS INC SHAREHOLDER, CLASS B COMMON STOCK 08/2023 > 75%
FERDINAND FFP INTERMEDIATE HOLDINGS, LLC Domestic Entity FERDINAND FFP ACQUISITION, LLC MEMBER 08/2023 > 75%
FERDINAND FFP PARENT, INC. Domestic Entity FERDINAND FFP INTERMEDIATE HOLDINGS, LLC MEMBER 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FERDINAND FFP PARENT, INC. SHAREHOLDER 08/2023 > 75%
CD&R FERDINAND HOLDINGS, L.P. Domestic Entity FERDINAND FFP ULTIMATE HOLDINGS, LP PARTNER 08/2023 50-75%
CD&R FERDINAND CO-INVESTOR, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 25-50%
CLAYTON, DUBILIER & RICE FUND XII, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 50-75%

No. Employees, Historic

30150201920202021202220232024202518 on 4/5/201918 on 4/15/201918 on 4/22/201923 on 3/30/202023 on 6/24/202023 on 7/22/202023 on 7/29/202018 on 3/31/202118 on 4/27/202118 on 8/25/202117 on 3/31/202217 on 4/4/202217 on 4/14/202217 on 4/15/202217 on 5/12/202217 on 11/1/202219 on 3/31/202319 on 4/12/202319 on 9/12/202319 on 9/20/202319 on 9/27/202319 on 3/27/202419 on 3/28/2024

RAUM, Historic

3B2B020192020202120222023202420251792597611 on 4/5/20191792597611 on 4/15/20191792597611 on 4/22/20191838202077 on 3/30/20201838202077 on 6/24/20201838202077 on 7/22/20201838202077 on 7/29/20202077986442 on 3/31/20212077986442 on 4/27/20212077986442 on 8/25/20212201067267 on 3/31/20222201067267 on 4/4/20222201067267 on 4/14/20222201067267 on 4/15/20222201067267 on 5/12/20222201067267 on 11/1/20221933785391 on 3/31/20231933785391 on 4/12/20231933785391 on 9/12/20231933785391 on 9/20/20231933785391 on 9/27/20232137887826 on 3/27/20242137887826 on 3/28/2024

No. Clients, Historic

50025002019202020212022202320242025380 on 4/5/2019380 on 4/15/2019380 on 4/22/2019386 on 3/30/2020386 on 6/24/2020386 on 7/22/2020386 on 7/29/2020420 on 3/31/2021420 on 4/27/2021420 on 8/25/2021429 on 3/31/2022429 on 4/4/2022429 on 4/14/2022429 on 4/15/2022429 on 5/12/2022429 on 11/1/2022462 on 3/31/2023462 on 4/12/2023462 on 9/12/2023462 on 9/20/2023462 on 9/27/2023480 on 3/27/2024480 on 3/28/2024

Holdings

From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 472K 5K
ABBOTT LABS COM 623K 6K
ABBVIE INC COM 4M 24K
ACCENTURE PLC IRELAND SHS CLASS A 292K 961
ADOBE INC COM 514K 925
ADVANCED MICRO DEVICES INC COM 333K 2K
AGILENT TECHNOLOGIES INC COM 256K 2K
ALLEGION PLC ORD SHS 590K 5K
ALPHABET INC CAP STK CL A 6M 31K
ALPHABET INC CAP STK CL C 7M 38K
ALPS ETF TR ALERIAN MLP 353K 7K
ALTRIA GROUP INC COM 3M 74K
AMAZON COM INC COM 8M 40K
AMERICA MOVIL SAB DE CV SPON ADS RP CL B 236K 14K
AMERICAN ELEC PWR CO INC COM 1M 13K
AMERICAN EXPRESS CO COM 799K 3K
AMGEN INC COM 2M 7K
AMPHENOL CORP NEW CL A 211K 3K
ANEBULO PHARMACEUTICALS INC COM 2M 642K
ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 322K 6K
AON PLC SHS CL A 208K 707
APPLE INC COM 28M 132K
APPLE INC COM 4M
APPLIED MATLS INC COM 1M 5K
ARES CAPITAL CORP COM 358K 17K
ARISTA NETWORKS INC COM 241K 689
ASML HOLDING N V N Y REGISTRY SHS 2M 2K
ASPEN TECHNOLOGY INC COM 673K 3K
ASTRAZENECA PLC SPONSORED ADR 1M 19K
AUTOMATIC DATA PROCESSING IN COM 580K 2K
BANK AMERICA CORP COM 2M 45K
BANK NEW YORK MELLON CORP COM 842K 14K
BEIGENE LTD SPONSORED ADR 282K 2K
BENTLEY SYS INC COM CL B 986K 20K
BERKLEY W R CORP COM 791K 10K
BERKSHIRE HATHAWAY INC DEL CL B NEW 6M 15K
BEST BUY INC COM 482K 6K
BJS WHSL CLUB HLDGS INC COM 589K 7K
BLACKROCK INC COM 523K 664
BLACKSTONE INC COM 345K 3K
BLACKSTONE SECD LENDING FD COMMON STOCK 214K 7K
BOOKING HOLDINGS INC COM 337K 85
BP PLC SPONSORED ADR 535K 15K
BRIGHT HORIZONS FAM SOL IN D COM 604K 5K
BRISTOL-MYERS SQUIBB CO COM 491K 12K
BRITISH AMERN TOB PLC SPONSORED ADR 280K 9K
BROADCOM INC COM 7M 4K
BROADRIDGE FINL SOLUTIONS IN COM 507K 3K
BROADSTONE NET LEASE INC COM 2M 127K
BUNGE GLOBAL SA COM SHS 221K 2K
CALIX INC COM 208K 6K
CAMECO CORP COM 206K 4K
CANADIAN NATL RY CO COM 559K 5K
CAPITAL GROUP GBL GROWTH EQT SHS CREATION UNI 13M 453K
CAPITAL GROUP INTERNATIONAL SHS 6M 210K
CARRIER GLOBAL CORPORATION COM 467K 7K
CATERPILLAR INC COM 1M 3K
CENCORA INC COM 723K 3K
CENOVUS ENERGY INC COM 238K 12K
CHARLES RIV LABS INTL INC COM 641K 3K
CHEMED CORP NEW COM 508K 936
CHEVRON CORP NEW COM 2M 11K
CHIPOTLE MEXICAN GRILL INC COM 392K 6K
CHOICE HOTELS INTL INC COM 470K 4K
CHUBB LIMITED COM 3M 12K
CINTAS CORP COM 2M 3K
CISCO SYS INC COM 2M 43K
CNH INDL N V SHS 101K 10K
COCA COLA CO COM 2M 27K
COLGATE PALMOLIVE CO COM 281K 3K
COMCAST CORP NEW CL A 577K 15K
COMPLETE SOLARIA INC COM 15K 14K
CONOCOPHILLIPS COM 337K 3K
CONSOLIDATED EDISON INC COM 446K 5K
CONSTELLATION BRANDS INC CL A 683K 3K
COOPER COS INC COM 834K 10K
CORNING INC COM 268K 7K
COSTCO WHSL CORP NEW COM 2M 2K
CREDIT ACCEP CORP MICH COM 336K 652
CVS HEALTH CORP COM 235K 4K
DANAHER CORPORATION COM 307K 1K
DBX ETF TR XTRACK MSCI EAFE 751K 18K
DEERE & CO COM 1M 3K
DEUTSCHE BANK A G NAMEN AKT 338K 21K
DIAGEO PLC SPON ADR NEW 559K 4K
DISNEY WALT CO COM 540K 5K
DOLBY LABORATORIES INC COM CL A 579K 7K
DOMINOS PIZZA INC COM 1M 3K
DUKE ENERGY CORP NEW COM NEW 2M 17K
EATON CORP PLC SHS 353K 1K
EBAY INC. COM 313K 6K
ECOLAB INC COM 547K 2K
EDISON INTL COM 350K 5K
ELEVANCE HEALTH INC COM 440K 812
ELI LILLY & CO COM 3M 3K
EMBRAER S.A. SPONSORED ADS 257K 10K
EMERSON ELEC CO COM 533K 5K
ENOVIX CORPORATION COM 545K 35K
ENTERGY CORP NEW COM 281K 3K
EOG RES INC COM 936K 7K
EQUIFAX INC COM 802K 3K
EQUITY RESIDENTIAL SH BEN INT 518K 7K
ESSENTIAL UTILS INC COM 261K 7K
EVERSOURCE ENERGY COM 306K 5K
EXPONENT INC COM 518K 5K
EXTRA SPACE STORAGE INC COM 254K 2K
EXXON MOBIL CORP COM 2M 18K
FAIR ISAAC CORP COM 715K 480
FASTENAL CO COM 283K 5K
FERRARI N V COM 1M 3K
FIFTH THIRD BANCORP COM 567K 16K
FLUOR CORP NEW COM 218K 5K
FRESHPET INC COM 358K 3K
GENERAL DYNAMICS CORP COM 3M 12K
GENMAB A/S SPONSORED ADS 367K 15K
GILEAD SCIENCES INC COM 1M 17K
GLAUKOS CORP COM 213K 2K
GOLDMAN SACHS GROUP INC COM 606K 1K
HARTFORD FINL SVCS GROUP INC COM 442K 4K
HCA HEALTHCARE INC COM 1M 4K
HENRY JACK & ASSOC INC COM 677K 4K
HOME DEPOT INC COM 3M 9K
HONEYWELL INTL INC COM 457K 2K
HP INC COM 827K 24K
HUBBELL INC COM 229K 627
HUMANA INC COM 327K 875
ILLINOIS TOOL WKS INC COM 308K 1K
INTEL CORP COM 293K 9K
INTERACTIVE BROKERS GROUP IN COM CL A 751K 6K
INTERCONTINENTAL EXCHANGE IN COM 444K 3K
INTERNATIONAL BUSINESS MACHS COM 301K 2K
INTUIT COM 259K 394
INTUITIVE SURGICAL INC COM NEW 587K 1K
INVESCO QQQ TR UNIT SER 1 203K 424
ISHARES INC MSCI EMRG CHN 3M 45K
ISHARES TR 0-5 YR TIPS ETF 33M 327K
ISHARES TR 10-20 YR TRS ETF 3M 28K
ISHARES TR CORE S&P MCP ETF 303K 5K
ISHARES TR CORE S&P SCP ETF 313K 3K
ISHARES TR CORE S&P500 ETF 443K 809
ISHARES TR CORE TOTAL USD 7M 162K
ISHARES TR EAFE GRWTH ETF 2M 16K
ISHARES TR EAFE VALUE ETF 2M 30K
ISHARES TR HDG MSCI EAFE 53M 1M
ISHARES TR ISHS 1-5YR INVS 3M 65K
ISHARES TR MBS ETF 7M 72K
ISHARES TR MSCI ACWI ETF 529K 5K
ISHARES TR RUS 1000 GRW ETF 216K 592
ISHARES TR RUSSELL 2000 ETF 3M 13K
ISHARES TR SHRT NAT MUN ETF 6M 61K
ISHARES TR U.S. TECH ETF 2M 14K
ISHARES TR US TREAS BD ETF 3M 124K
ISHARES U S ETF TR BLACKROCK SH DUR 2M 42K
JACOBS SOLUTIONS INC COM 584K 4K
JOHNSON & JOHNSON COM 3M 17K
JPMORGAN CHASE & CO. COM 6M 31K
KIMBERLY-CLARK CORP COM 1M 8K
KINDER MORGAN INC DEL COM 402K 20K
KLA CORP COM NEW 472K 572
KNIFE RIVER CORP COMMON STOCK 409K 6K
L3HARRIS TECHNOLOGIES INC COM 359K 2K
LENNOX INTL INC COM 1M 3K
LOCKHEED MARTIN CORP COM 483K 1K
LOWES COS INC COM 736K 3K
LPL FINL HLDGS INC COM 1M 4K
LYONDELLBASELL INDUSTRIES N SHS - A - 775K 8K
MASCO CORP COM 802K 12K
MASTERCARD INCORPORATED CL A 3M 6K
MCCORMICK & CO INC COM NON VTG 236K 3K
MCDONALDS CORP COM 2M 8K
MCKESSON CORP COM 595K 1K
MEDTRONIC PLC SHS 954K 12K
MERCADOLIBRE INC COM 514K 313
MERCK & CO INC COM 841K 7K
META PLATFORMS INC CL A 4M 8K
METLIFE INC COM 828K 12K
MICROSOFT CORP COM 13M 30K
MICROSOFT CORP COM 670K
MOODYS CORP COM 825K 2K
MORGAN STANLEY COM NEW 1M 15K
MSCI INC COM 477K 990
NATERA INC COM 247K 2K
NATIONAL GRID PLC SPONSORED ADR NE 274K 5K
NATWEST GROUP PLC SPONS ADR 332K 41K
NETFLIX INC COM 1M 2K
NIKE INC CL B 308K 4K
NORDSON CORP COM 758K 3K
NOVO-NORDISK A S ADR 2M 17K
NVENT ELECTRIC PLC SHS 224K 3K
NVIDIA CORPORATION COM 9M 69K
NXP SEMICONDUCTORS N V COM 213K 793
OLD DOMINION FREIGHT LINE IN COM 229K 1K
OMNICOM GROUP INC COM 227K 3K
ORACLE CORP COM 334K 2K
OSCAR HEALTH INC CL A 267K 17K
OUTLOOK THERAPEUTICS INC COM 352K 48K
OWENS CORNING NEW COM 359K 2K
PALANTIR TECHNOLOGIES INC CL A 355K 14K
PARKER-HANNIFIN CORP COM 865K 2K
PAYCHEX INC COM 2M 20K
PENTAIR PLC SHS 224K 3K
PEPSICO INC COM 3M 20K
PFIZER INC COM 569K 20K
PHATHOM PHARMACEUTICALS INC COM 133K 13K
PHILIP MORRIS INTL INC COM 550K 5K
PHILLIPS 66 COM 268K 2K
PNC FINL SVCS GROUP INC COM 1M 8K
POOL CORP COM 751K 2K
PRICE T ROWE GROUP INC COM 668K 6K
PRINCIPAL FINANCIAL GROUP IN COM 262K 3K
PROCTER AND GAMBLE CO COM 1M 8K
PROSHARES TR S&P 500 DV ARIST 375K 4K
PROSPECT CAP CORP COM 68K 12K
PRUDENTIAL FINL INC COM 888K 8K
PUBLIC SVC ENTERPRISE GRP IN COM 630K 9K
PULTE GROUP INC COM 871K 8K
QUALCOMM INC COM 470K 2K
RELX PLC SPONSORED ADR 697K 15K
RESMED INC COM 261K 1K
ROLLINS INC COM 745K 15K
RPM INTL INC COM 263K 2K
RTX CORPORATION COM 1M 11K
S&P GLOBAL INC COM 1M 3K
SAIA INC COM 696K 1K
SALESFORCE INC COM 469K 2K
SAP SE SPON ADR 1M 7K
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 6M 180K
SCHWAB STRATEGIC TR INTL EQTY ETF 2M 55K
SCHWAB STRATEGIC TR SHT TM US TRES 24M 503K
SCHWAB STRATEGIC TR US AGGREGATE B 1M 29K
SCHWAB STRATEGIC TR US DIVIDEND EQ 92M 1M
SCHWAB STRATEGIC TR US LCAP GR ETF 17M 166K
SCHWAB STRATEGIC TR US SML CAP ETF 6M 132K
SCHWAB STRATEGIC TR US TIPS ETF 2M 34K
SCOTTS MIRACLE-GRO CO CL A 405K 6K
SERVICENOW INC COM 309K 393
SHOPIFY INC CL A 231K 3K
SITEONE LANDSCAPE SUPPLY INC COM 434K 4K
SOUTHERN CO COM 1M 15K
SPDR INDEX SHS FDS PORTFLI MSCI GBL 5M 76K
SPDR S&P 500 ETF TR TR UNIT 2M 3K
STARBUCKS CORP COM 206K 3K
STATE STR CORP COM 462K 6K
STMICROELECTRONICS N V NY REGISTRY 483K 12K
STRYKER CORPORATION COM 311K 915
SYNOPSYS INC COM 220K 369
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 2M 9K
TANDEM DIABETES CARE INC COM NEW 317K 8K
TARGET CORP COM 929K 6K
TASEKO MINES LTD COM 274K 112K
TE CONNECTIVITY LTD SHS 509K 3K
TELEDYNE TECHNOLOGIES INC COM 478K 1K
TERADYNE INC COM 1M 7K
TESLA INC COM 879K 4K
TEXAS INSTRS INC COM 235K 1K
TFI INTL INC COM 395K 3K
THERMO FISHER SCIENTIFIC INC COM 527K 953
THOR INDS INC COM 441K 5K
TJX COS INC NEW COM 299K 3K
TOTALENERGIES SE SPONSORED ADS 1M 21K
TRAVELERS COMPANIES INC COM 523K 3K
TRUIST FINL CORP COM 784K 20K
TYSON FOODS INC CL A 230K 4K
UBER TECHNOLOGIES INC COM 262K 4K
UNION PAC CORP COM 683K 3K
UNITED PARCEL SERVICE INC CL B 704K 5K
UNITEDHEALTH GROUP INC COM 1M 2K
US BANCORP DEL COM NEW 2M 54K
VANGUARD BD INDEX FDS INTERMED TERM 211K 3K
VANGUARD INDEX FDS GROWTH ETF 31M 84K
VANGUARD INDEX FDS S&P 500 ETF SHS 2M 4K
VANGUARD INDEX FDS SMALL CP ETF 251K 1K
VANGUARD INDEX FDS TOTAL STK MKT 2M 6K
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 205K 5K
VANGUARD MUN BD FDS TAX EXEMPT BD 5M 93K
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 201K 3K
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 45M 475K
VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 12M 143K
VANGUARD WHITEHALL FDS HIGH DIV YLD 1M 11K
VERIZON COMMUNICATIONS INC COM 2M 44K
VERTEX PHARMACEUTICALS INC COM 348K 742
VIATRIS INC COM 143K 13K
VICI PPTYS INC COM 342K 12K
VISA INC COM CL A 5M 19K
WALMART INC COM 2M 26K
WARBY PARKER INC CL A COM 201K 13K
WATSCO INC COM 793K 2K
WEC ENERGY GROUP INC COM 1M 16K
WELLS FARGO CO NEW COM 514K 9K
XYLEM INC COM 406K 3K
ZEBRA TECHNOLOGIES CORPORATI CL A 703K 2K
ZOETIS INC CL A 228K 1K
ZURN ELKAY WATER SOLNS CORP COM 607K 21K