{"url":"https://nivawealth.com/firms/lewis-financial-management-116344","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/116344","regulatoryAum":338732555,"crd":"116344","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"722087","suffix":null,"lastName":"LEWIS","firstName":"DOUGLAS","middleName":"JOEL"},{"crd":"2774348","suffix":null,"lastName":"LEWIS","firstName":"LINDA","middleName":"PEREZ"},{"crd":"5596434","suffix":null,"lastName":"NETTESHEIM","firstName":"DAVID","middleName":"ALLEN"}],"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":"2021-03-25","regulatoryAum":393346710,"clients":142,"employees":6,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":417471984,"clients":139,"employees":6,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":357085633,"clients":139,"employees":5,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":415279724,"clients":136,"employees":5,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":431163158,"clients":128,"employees":2,"offices":1},{"filedOn":"2026-03-25","regulatoryAum":338732555,"clients":88,"employees":2,"offices":1}],"secFileNumber":"801-60666","legalName":"Lewis Financial Management, LLC","displayName":"Lewis Financial Management","slug":"lewis-financial-management-116344","website":"https://lfmadvisor.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1984","organization":"North Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1611 East Millbrook Road","city":"Raleigh","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"27609"},"tradeNames":[],"registration":{"secApproved":"5 October 2001","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3849233.5795454546,"staff":{"employees":2,"advisory":1,"brokerDealerReps":2,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":338732555,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":338732555,"nonDiscretionaryAccounts":88,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":46},"clientTypes":[{"label":"Individuals (other than HNW)","clients":3,"regulatoryAum":3032298},{"label":"High-net-worth individuals","clients":85,"regulatoryAum":335700257}],"feePrograms":[{"role":"other","program":"Initial Fee for Financial Plan Database and Document","summary":"Flat fee of $10,000 for building the financial planning database and writing the plan document.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025832","versionId":1025832,"submittedOn":"2026-03-25","documentName":"LFM BROCHURE"},{"role":"other","program":"Initial Financial Advisory Consultation","summary":"$250 per hour with a 3-hour minimum or as long as needed; an advice-only meeting.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025832","versionId":1025832,"submittedOn":"2026-03-25","documentName":"LFM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T08:38:32.213205+00:00","documents":[{"name":"LFM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025832","versionId":1025832,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"American Funds Service Company","shortName":"American Funds Service","location":"Los Angeles, CA","smaAssets":262431478}],"custodyNote":"Lewis Financial Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Douglas Lewis","title":"Managing Member, Chief Compliance Officer","crd":"722087"},{"name":"Linda Lewis","title":"Member","crd":"2774348"}],"ownership":[{"label":"Douglas Lewis","detail":"Managing member, chief compliance officer in the 50% to 75% ownership band and a control person, since October 2004."},{"label":"Linda Lewis","detail":"Member in the 50% to 75% ownership band and a control person, since February 2001."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"1611 East Millbrook Road","city":"Raleigh","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"919-872-7000","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":78},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":21},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/116344/PDF/116344.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025832","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 Management have?","answer":"Lewis Financial Management has 88 clients and manages $339 million for them, as of March 2026. They include 85 high-net-worth individuals and 3 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lewis Financial Management offer?","answer":"Lewis Financial Management provides financial planning, portfolio management for individuals and small businesses, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Lewis Financial Management use?","answer":"Lewis Financial Management’s separately managed account assets are held at American Funds Service Company (Los Angeles, CA), with $262M. 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 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lewis Financial Management have?","answer":"Lewis Financial Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 0 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 Management invest in?","answer":"At the end of its last fiscal year, Lewis Financial Management’s separately managed accounts held 78% registered funds (mutual funds, ETFs, BDCs), 21% pooled vehicles (private funds and similar) 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 Lewis Financial Management?","answer":"Lewis Financial Management’s direct owners are Douglas Lewis (50% to 75%) and Linda Lewis (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lewis Financial Management get paid?","answer":"Lewis Financial Management is paid through a percentage of assets under management, hourly charges 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 Lewis Financial Management?","answer":"Lewis Financial Management’s main office is at 1611 East Millbrook Road, Raleigh, NC 27609. Its phone number is 919-872-7000. Its website is lfmadvisor.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 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."}