{"url":"https://nivawealth.com/firms/lewis-financial-170324","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170324","regulatoryAum":133950000,"crd":"170324","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2536210","suffix":null,"lastName":"HILTZ","firstName":"ROBERT","middleName":"MELVIN"},{"crd":"1037214","suffix":null,"lastName":"LEWIS","firstName":"WAYNE","middleName":"EVAN"},{"crd":"4665596","suffix":null,"lastName":"LEWIS","firstName":"WYATT","middleName":"EVAN"}],"total":3,"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":"2025-06-06","regulatoryAum":108112077,"clients":194,"employees":3,"offices":1},{"filedOn":"2026-02-25","regulatoryAum":133950000,"clients":255,"employees":3,"offices":1}],"secFileNumber":"801-132016","legalName":"Lewis Financial, LLC","displayName":"Lewis 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(2026)","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012109","versionId":1012109,"submittedOn":"2026-02-25"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012113","versionId":1012113,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012112","versionId":1012112,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012111","versionId":1012111,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012110","versionId":1012110,"submittedOn":null}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":133950000}],"custodyNote":"Lewis Financial does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Wyatt Lewis","title":"Managing Member/Chief Compliance Officer","crd":"4665596"}],"ownership":[{"label":"Wyatt Lewis","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since June 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"3590 Sacramento DR., Ste 140","city":"San Luis Obispo","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"805-548-0900","stateRegisteredReps":3,"otherAdviserReps":3,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":65},{"label":"Securities issued by registered investment companies or business development companies","percent":32},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"25 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/170324/PDF/170324.pdf","brochureDate":"25 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1012109","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 Financial have?","answer":"Lewis Financial has 255 clients and manages $134 million for them, as of February 2026. They include 195 individual clients, 58 high-net-worth individuals and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lewis Financial offer?","answer":"Lewis Financial 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":"Which custodians does Lewis Financial use?","answer":"Lewis Financial’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $134M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lewis Financial have?","answer":"Lewis Financial has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 3 employees are 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 Financial invest in?","answer":"At the end of its last fiscal year, Lewis Financial’s separately managed accounts held 65% exchange-traded equities, 32% registered funds (mutual funds, ETFs, BDCs) and 3% 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 Lewis Financial?","answer":"Lewis Financial’s direct owner is Wyatt Lewis (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lewis Financial get paid?","answer":"Lewis Financial 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 Financial?","answer":"Lewis Financial’s main office is at 3590 Sacramento DR., Ste 140, San Luis Obispo, CA 93401. Its phone number is 805-548-0900. Its website is lewisfinancialslo.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 February 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."}