# Lewis Financial Management, LLC

> Lewis Financial Management, LLC is an SEC-registered investment advisory firm in Raleigh, NC, registered since 2001, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.

- CRD: 116344
- Filed as: LEWIS FINANCIAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Raleigh, NC
- Filing period: October 2026
- Form ADV filing dated: March 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/116344
- AdvisorCensus page: https://advisorcensus.com/firm/lewis-financial-management-llc-raleigh-nc-116344

## Quick answers

**How is Lewis Financial Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Lewis Financial Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Lewis Financial Management, LLC located?**
Lewis Financial Management, LLC's principal office is in Raleigh, NC, according to its Form ADV.

**Is Lewis Financial Management, LLC registered with the SEC or a state?**
Lewis Financial Management, LLC is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 116344.

**How much does Lewis Financial Management, LLC manage?**
Lewis Financial Management, LLC reports $338,732,555 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (0% discretionary).

**How have Lewis Financial Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Lewis Financial Management, LLC: Regulatory assets under management: $393,346,710 in the October 2021 data and $338,732,555 in the October 2026 data, down 14%. Total employees: 6 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Lewis Financial Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (85); individuals (other than high net worth individuals) (3).

**Which custodians does Lewis Financial Management, LLC use?**
Lewis Financial Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists American Funds Service Company as a custodian holding 10% or more of its separately managed account assets.

**Does Lewis Financial Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/116344

**Does Lewis Financial Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 25, 2026 says: "Comprehensive Financial Planning : Minimum $2,000,000. Lewis Financial Management may lower this minimum in certain instances."

**What changed in Lewis Financial Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $431,163,158 to $338,732,555 (-21%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Account minimum: $2,000,000

> Comprehensive Financial Planning : Minimum $2,000,000. Lewis Financial Management may lower this minimum in certain instances.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- American Funds Service Company

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $338,732,555
- Discretionary: $0
- Non-discretionary: $338,732,555

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 3 | $3,032,298 |
| High net worth individuals | 85 | $335,700,257 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2001 (24 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NC, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- lfmadvisor.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $393,346,710 | 6 | March 25, 2021 |
| October 2022 | $417,471,984 | 6 | March 30, 2022 |
| October 2023 | $357,085,633 | 5 | March 27, 2023 |
| October 2024 | $415,279,724 | 5 | March 27, 2024 |
| October 2025 | $431,163,158 | 2 | March 31, 2025 |
| October 2026 | $338,732,555 | 2 | March 25, 2026 |

Regulatory assets under management: $393,346,710 in the October 2021 data and $338,732,555 in the October 2026 data, down 14%.
Total employees: 6 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $431,163,158 to $338,732,555 (-21%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Lewis Financial Management, LLC (CRD 116344): Form ADV filing data as of October 2026.