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LEWIS FINANCIAL, LLC
CRD 170324File 801-132016
APPROVED
Retail clients
Filing as of Feb 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$133.9M
Bottom 25% of cohort (national)
Discretionary AUM
$133.9M
Clients
255
255 accounts
Employees
3
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jun 10, 2025
- Principal office
- 3590 SACRAMENTO DR., STE 140, SAN LUIS OBISPO, CA, 93401
- Phone
- (805) 548-0900
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $133.9M
- Discretionary AUM
- $133.9M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 255
- Non-discretionary accounts
- 0
- Total accounts
- 255
- AUM per client
- $525K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 1 | $450K |
| High net worth individuals | 58 | $90.0M |
| Pension and profit sharing plans | 1 | $1.5M |
| Individuals (other than high net worth individuals) | 195 | $42.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 194 | 255 | increased by61 |
| Mar 1, 2026 | AUM | $108,112,077 | $133,950,000 | increased by$25,837,923 |
| Mar 1, 2026 | Accounts | 301 | 255 | decreased by46 |
| Dec 1, 2025 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “LEWIS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“LEWIS FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.