{"url":"https://nivawealth.com/firms/lewis-capital-management-133619","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/133619","regulatoryAum":180159001,"crd":"133619","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4918055","suffix":null,"lastName":"LEWIS","firstName":"SCOTT","middleName":"CRAIG"}],"total":1,"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":"2021-03-11","regulatoryAum":154828637,"clients":98,"employees":1,"offices":1},{"filedOn":"2022-03-08","regulatoryAum":206785486,"clients":102,"employees":1,"offices":1},{"filedOn":"2023-03-17","regulatoryAum":160212199,"clients":96,"employees":1,"offices":1},{"filedOn":"2024-02-21","regulatoryAum":165765656,"clients":89,"employees":1,"offices":1},{"filedOn":"2025-06-09","regulatoryAum":159393056,"clients":80,"employees":1,"offices":1},{"filedOn":"2026-03-10","regulatoryAum":180159001,"clients":83,"employees":1,"offices":1}],"secFileNumber":"801-63956","legalName":"Lewis Capital Management, LLC","displayName":"Lewis Capital Management","slug":"lewis-capital-management-133619","website":"https://lewiscm.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"9454 Wilshire BLVD., Suite M1","city":"Beverly Hills","state":"CA","stateName":"California","country":"United States","postalCode":"90212"},"tradeNames":[],"registration":{"secApproved":"17 February 2005","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2148857.0843373495,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":180159001,"discretionary":180159001,"discretionaryAccounts":184,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":13,"regulatoryAum":4730754},{"label":"High-net-worth individuals","clients":70,"regulatoryAum":173624384},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1803863}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.5,"from":0},{"to":2000000,"pct":1,"from":500000},{"to":null,"pct":0.75,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004876","versionId":1004876,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-01-29","documentName":"LCM ADV PART 2A & 2B BROCHURES","fee_rate_low":0.75,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Hourly consulting","summary":"Consultations on an hourly basis are generally $250 per hour; a lower fee may apply, for example to non-profit organizations.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004876","versionId":1004876,"submittedOn":"2026-01-29","documentName":"LCM ADV PART 2A & 2B BROCHURES"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:11:04.603184+00:00","documents":[{"name":"LCM ADV PART 2A & 2B BROCHURES","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004876","versionId":1004876,"submittedOn":"2026-01-29"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":180159001}],"custodyNote":"Lewis Capital Management has custody of $20.8M in client assets for 12 clients.","otherCustodians":[],"leadership":[{"name":"Scott Lewis","title":"Chief Compliance Officer & Portfolio Manager","crd":"4918055"},{"name":"Diane Lewis","title":"Trustee of the Lewis Family Trust Dated February 28, 2002","crd":"8236180"}],"ownership":[{"label":"The Lewis Family Trust Dated February 28, 2002","detail":"Sole member in the 75% or more ownership band and a control person, since March 2026."},{"label":"Scott Lewis","detail":"Trustee of the lewis family trust dated february 28, 2002 in the 75% or more ownership band and a control person, since March 2026."},{"label":"Diane Lewis","detail":"Trustee of the lewis family trust dated february 28, 2002 in the 75% or more ownership band and a control person, since March 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"9454 Wilshire BLVD., Suite M1","city":"Beverly Hills","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-276-1262","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":43},{"label":"U.S. government/agency bonds","percent":30},{"label":"Investment grade corporate bonds","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":16}],"privateFunds":0},"sources":{"adv1FilingDate":"10 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/133619/PDF/133619.pdf","brochureDate":"29 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004876","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 Lewis Capital Management have?","answer":"Lewis Capital Management has 83 clients and manages $180 million for them, as of March 2026. They include 70 high-net-worth individuals and 13 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lewis Capital Management offer?","answer":"Lewis Capital Management provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Lewis Capital Management charge?","answer":"Lewis Capital Management charges 0.75%–1.50% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in advance or in arrears and is negotiable.","source":"LCM ADV PART 2A & 2B BROCHURES, filed 29 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Lewis Capital Management use?","answer":"Lewis Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $180M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lewis Capital Management have?","answer":"Lewis Capital Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Lewis Capital Management invest in?","answer":"At the end of its last fiscal year, Lewis Capital Management’s separately managed accounts held 43% exchange-traded equities, 30% U.S. government and agency bonds, 16% cash and equivalents, 10% investment grade corporate bonds and 1% registered funds (mutual funds, ETFs, BDCs).","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 Lewis Capital Management?","answer":"Lewis Capital Management’s direct owners are the Lewis Family Trust Dated February 28, 2002 (75% or more), Scott Lewis (75% or more) and Diane Lewis (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lewis Capital Management get paid?","answer":"Lewis Capital Management is paid through a percentage of assets under management and hourly charges. 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 Lewis Capital Management?","answer":"Lewis Capital Management’s main office is at 9454 Wilshire BLVD., Suite M1, Beverly Hills, CA 90212. Its phone number is 310-276-1262. Its website is lewiscm.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/lewis-capital-management-133619/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-15","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1908587/000190858726000003/0001908587-26-000003-index.html","totalValue":358216108,"positionCount":42,"top10Share":0.635860959105725,"top10":[{"issuer":"SCHWAB STRATEGIC TR","titleOfClass":"US BRD MKT ETF","cusip":"808524102","value":34167504,"shares":1179830,"shareType":"SH","priorValue":39741054,"priorShares":1583312},{"issuer":"VANGUARD INDEX FDS","titleOfClass":"S&P 500 ETF SHS","cusip":"922908363","value":27404468,"shares":39856,"shareType":"SH","priorValue":26424456,"priorShares":44180},{"issuer":"BLACKROCK ETF TRUST II","titleOfClass":"ISHA FLEX IN 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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."}