{"url":"https://nivawealth.com/firms/johnson-lyman-150150","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/150150","regulatoryAum":202117904,"crd":"150150","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7609189","suffix":null,"lastName":"Lyman","firstName":"Rebecca","middleName":"Katherine"},{"crd":"4697601","suffix":null,"lastName":"LYMAN","firstName":"ROBERT","middleName":"A"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-17","regulatoryAum":124733485,"clients":51,"employees":3,"offices":1},{"filedOn":"2022-03-18","regulatoryAum":146442238,"clients":50,"employees":2,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":134863797,"clients":53,"employees":2,"offices":1},{"filedOn":"2024-02-19","regulatoryAum":152872642,"clients":54,"employees":2,"offices":1},{"filedOn":"2025-03-10","regulatoryAum":168143732,"clients":55,"employees":2,"offices":1},{"filedOn":"2026-03-04","regulatoryAum":202117904,"clients":57,"employees":2,"offices":1}],"secFileNumber":"801-70139","legalName":"Johnson Lyman, Inc.","displayName":"Johnson Lyman","slug":"johnson-lyman-150150","website":"https://jlwealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"4966 El Camino Real, Suite 109","city":"Los Altos","state":"CA","stateName":"California","country":"United States","postalCode":"94022"},"tradeNames":[],"registration":{"secApproved":"15 May 2009","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3367947.7818181817,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":202117904,"discretionary":190072646,"discretionaryAccounts":56,"nonDiscretionary":12045258,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Individuals (other than HNW)","clients":9,"regulatoryAum":5624201},{"label":"High-net-worth individuals","clients":46,"regulatoryAum":179612927},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":12045258},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":4835518}],"feePrograms":[{"role":"other","program":"Financial Planning Projects","summary":"Fixed fees for financial planning projects are set by complexity; generally 50% is billed in advance, and advisor time is valued at $400 to $600 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014633","versionId":1014633,"submittedOn":"2026-03-04","documentName":"ADV PART 2A AND 2B"},{"role":"other","program":"Retirement Plan Services","summary":"Retirement plan services are a percentage of plan assets, reduced as plan assets grow; the brochure states no fixed rate.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014633","versionId":1014633,"submittedOn":"2026-03-04","documentName":"ADV PART 2A AND 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:56:34.114851+00:00","documents":[{"name":"ADV PART 2A AND 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014633","versionId":1014633,"submittedOn":"2026-03-04"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":184851054},{"name":"Capital Bank and Trust Company","shortName":"Capital Bank and Trust","location":"Norfolk, VA","smaAssets":15730},{"name":"Nationwide Investment Services Corporation","shortName":"Nationwide Investment Services","location":"Columbus, OH","smaAssets":3795562}],"custodyNote":"Johnson Lyman has custody of $7.39M for 6 clients.","otherCustodians":[],"leadership":[{"name":"Robert Lyman","title":"Shareholder, President, Director & Chief Compliance Officer","crd":"4697601"},{"name":"Catherine Lyman","title":"Director","crd":"6369880"}],"ownership":[{"label":"Robert Lyman","detail":"Shareholder, president, director & chief compliance officer in the 75% or more ownership band and a control person, since July 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"4966 El Camino Real, Suite 109","city":"Los Altos","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-494-2733","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"4 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/150150/PDF/150150.pdf","brochureDate":"4 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014633","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Johnson Lyman have?","answer":"Johnson Lyman has 57 clients and manages $202 million for them, as of March 2026. They include 46 high-net-worth individuals, 9 individual clients and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Johnson Lyman offer?","answer":"Johnson Lyman provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Johnson Lyman use?","answer":"Johnson Lyman’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $185M, Nationwide Investment Services Corporation (Columbus, OH), with $3.8M and Capital Bank and Trust Company (Norfolk, VA), with $15.7K. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Johnson Lyman have?","answer":"Johnson Lyman has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Johnson Lyman invest in?","answer":"At the end of its last fiscal year, Johnson Lyman’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 30% exchange-traded equities and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Johnson Lyman?","answer":"Johnson Lyman’s direct owner is Robert Lyman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Johnson Lyman get paid?","answer":"Johnson Lyman is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Johnson Lyman?","answer":"Johnson Lyman’s main office is at 4966 El Camino Real, Suite 109, Los Altos, CA 94022. Its phone number is 650-494-2733. Its website is jlwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 4 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}