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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

LWI FINANCIAL INC.

CRD 111861

SAN JOSE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4bd29647-43de-e2d2-25f9-a743425f3381

Data as of Apr 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 74
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Apr 2, 2018
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $17BItem 5.F on the latest filing (2018-04-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $14BderivedItem 5.D individuals plus high net worth individuals
Private client share: 80%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 118
Advisory employees: 25
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 25,748
Individual clients: 23,601
High net worth clients: 1,719
Custody, client assets: $5.8B
SEC number: 801-55934
CRD: 111861
Filings on the tape: 19
First filed: Mar 23, 2012
Latest filed: Apr 2, 2018
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ARCADIA LORING WARD LLC	Shareholder	D	yes	08/2008	Mar 23, 2012	Apr 2, 2018
CLINTON, MICHAEL, RAY	CHIEF FINANCIAL OFFICER	Na	yes	03/2009	Mar 23, 2012	Apr 2, 2018
DJEU, DEBORAH, DAPHNE	CHIEF COMPLIANCE OFFICER	Na	yes	10/2015	Oct 15, 2015	Apr 2, 2018
LEE, HOWARD, HOA	CHIEF OPERATING OFFICER	Na	yes	04/2016	Apr 13, 2016	Apr 2, 2018
LORING WARD HOLDINGS INC.	Shareholder	E	yes	01/2009	Jan 7, 2016	Apr 2, 2018
POTTS, ALEXANDER, BENNETT	CHIEF EXECUTIVE OFFICER	Na	yes	01/2009	Mar 23, 2012	Apr 2, 2018
REINHARD, ELI	Trustee	C	yes	01/2009	Mar 23, 2012	Apr 2, 2018
REINHARD, ELI	Shareholder	D	yes	01/2009	Mar 23, 2012	Apr 2, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC	n/a	Independent wealth	$1.4B	Y	no	n/a
THE WEALTH MANAGEMENT ALLIANCE LLC	n/a	Former SEC adviser	$99.2M	N	yes	n/a
LORING WARD SECURITIES INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Sacramento	CA	United States	5	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Apr 2, 2018	$17B	$0	118	25	1	n/a	n/a
2016	Mar 30, 2017	$15B	$0	112	30	n/a	n/a	n/a
2015	Mar 24, 2016	$13B	$0	110	28	n/a	n/a	n/a
2014	Mar 27, 2015	$13B	$0	101	22	n/a	n/a	n/a
2013	Mar 25, 2014	$10B	$0	97	17	n/a	n/a	n/a
2012	Mar 4, 2013	$8.2B	$0	100	10	n/a	n/a	n/a
2011	Mar 23, 2012	$7.2B	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$17B	$15B	17.4%	$13B	11.2%	118	112	1	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
THE WEALTH MANAGEMENT ALLIANCE LLC	2	Jan 8, 2019	Jan 7, 2014	SAN JOSE, CA	Channel change	Ibd to RIA	66.7%
FOCUS ADVISOR SOLUTIONS, LLC	18	Dec 13, 2018	Jan 9, 2025	SAN JOSE, CA	Firm absorbed	Ibd to RIA	75.0%

Relationships

Affiliated with (4)

→ WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, insurance company, control
factForm ADV
→ THE WEALTH MANAGEMENT ALLIANCE LLCRegistered adviserother investment adviser, common control
factForm ADV
← THE WEALTH MANAGEMENT ALLIANCE LLCRegistered adviserother investment adviser, common control
factForm ADV
← LOUIS BARAJAS & ASSOCIATESRegistered adviserother investment adviser
factForm ADV

Controls (7)

← POTTS, ALEXANDER, BENNETTOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← DJEU, DEBORAH, DAPHNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 15, 2015 to presentfactForm ADV
← CLINTON, MICHAEL, RAYOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← LEE, HOWARD, HOAOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Apr 13, 2016 to presentfactForm ADV
← REINHARD, ELIOwnerSHAREHOLDER, ownership code D, individual
Mar 23, 2012 to presentfactForm ADV
← ARCADIA LORING WARD LLCOwnerSHAREHOLDER, ownership code D, domestic entity
Mar 23, 2012 to presentfactForm ADV
← LORING WARD HOLDINGS INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 7, 2016 to presentfactForm ADV

Moved with (2)

→ FOCUS ADVISOR SOLUTIONS, LLCRegistered adviser18 advisors, firm absorbed
Dec 13, 2018 to Jan 9, 2025factForm ADV
→ THE WEALTH MANAGEMENT ALLIANCE LLCRegistered adviser2 advisors, team lift out, same day
Jan 8, 2019 to Jan 7, 2014factForm ADV

Registered with (57)

← TIMOTHY PAUL HACKERAdvisorregistration: previous registration
Aug 30, 2013 to Jan 8, 2019factForm ADV
← ERICH KARL REINHARDTAdvisorregistration: previous registration
Dec 8, 2009 to Jan 8, 2019factForm ADV
← TIMOTHY MARK WOCHOKAdvisorregistration: previous registration
Feb 4, 2011 to Jan 8, 2019factForm ADV
← MAURICE Michael SEITTERAdvisorregistration: previous registration
Jun 17, 2016 to Jan 4, 2019factForm ADV
← DEWAYNE RAY NELSONAdvisorregistration: previous registration
Nov 17, 2009 to Jan 3, 2019factForm ADV
← ANGELA MARIE STOVERAdvisorregistration: previous registration
Jan 27, 2012 to Dec 17, 2018factForm ADV
← MICHAEL DONALD OZBURNAdvisorregistration: previous registration
Mar 12, 2014 to Dec 17, 2018factForm ADV
← FRANK ALAN ROMEROAdvisorregistration: previous registration
Dec 4, 2006 to Dec 17, 2018factForm ADV
← JORGE ANDRES GALEANOAdvisorregistration: previous registration
Aug 24, 2009 to Dec 17, 2018factForm ADV
← BENJAMIN HAAG SLATERAdvisorregistration: previous registration
Feb 10, 2015 to Dec 17, 2018factForm ADV
← VINCENT JOSEPH CRIVELLOAdvisorregistration: previous registration
Mar 31, 2009 to Dec 14, 2018factForm ADV
← William BlanchetteAdvisorregistration: previous registration
Jun 22, 2017 to Dec 14, 2018factForm ADV
← Sean C BrooksAdvisorregistration: previous registration
Jul 5, 2017 to Dec 14, 2018factForm ADV
← ROGER RICHARD ROWEAdvisorregistration: previous registration
Jan 6, 2017 to Dec 13, 2018factForm ADV
← Eric Jason KohlmeisterAdvisorregistration: previous registration
Apr 26, 2017 to Dec 13, 2018factForm ADV
← Jonathan Joseph ScheidAdvisorregistration: previous registration
Jul 16, 2018 to Dec 13, 2018factForm ADV
← SHELDON PATRICK MCFARLANDAdvisorregistration: previous registration
Oct 4, 2006 to Dec 13, 2018factForm ADV
← NISHANT K PANDYAAdvisorregistration: previous registration
Mar 12, 2012 to Dec 13, 2018factForm ADV
← THUY TRANAdvisorregistration: previous registration
Dec 4, 2006 to Dec 13, 2018factForm ADV
← Seng Veun SaechaoAdvisorregistration: previous registration
Feb 22, 2018 to Dec 13, 2018factForm ADV
← JEREMY DEAN MILLERAdvisorregistration: previous registration
Feb 22, 2017 to Dec 13, 2018factForm ADV
← ALICIA TEMMERMAN MCHUGHAdvisorregistration: previous registration
Aug 30, 2011 to Dec 13, 2018factForm ADV
← KATLYN ANNE NIELSONAdvisorregistration: previous registration
Dec 3, 2015 to Dec 13, 2018factForm ADV
← DAVID N HANNAAdvisorregistration: previous registration
Mar 31, 2017 to Dec 13, 2018factForm ADV
← Rachael Leah DecostaAdvisorregistration: previous registration
Apr 20, 2018 to Aug 1, 2018factForm ADV
← Carl Scott LambAdvisorregistration: previous registration
Jan 27, 2011 to Jun 4, 2018factForm ADV
← Jerrod FosterAdvisorregistration: previous registration
Jul 30, 2014 to May 2, 2018factForm ADV
← MATTHEW J CARVALHOAdvisorregistration: previous registration
Mar 9, 2012 to Apr 16, 2018factForm ADV
← MARK RUDD FONVILLEAdvisorregistration: previous registration
Oct 24, 2007 to Apr 9, 2018factForm ADV
← KYLE DAVID FELSKEAdvisorregistration: previous registration
Jan 13, 2017 to Nov 6, 2017factForm ADV
and 27 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4bd29647-43de-e2d2-25f9-a743425f3381
First observed: Mar 23, 2012
Last observed: Apr 2, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LWI FINANCIAL INC.

CRD 111861

SAN JOSE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4bd29647-43de-e2d2-25f9-a743425f3381

Data as of Apr 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARCADIA LORING WARD LLC

Shareholder

yes

08/2008

Mar 23, 2012

Apr 2, 2018

CLINTON, MICHAEL, RAY

CHIEF FINANCIAL OFFICER

yes

03/2009

Mar 23, 2012

Apr 2, 2018

DJEU, DEBORAH, DAPHNE

CHIEF COMPLIANCE OFFICER

yes

10/2015

Oct 15, 2015

Apr 2, 2018

LEE, HOWARD, HOA

CHIEF OPERATING OFFICER

yes

04/2016

Apr 13, 2016

Apr 2, 2018

LORING WARD HOLDINGS INC.

Shareholder

yes

01/2009

Jan 7, 2016

Apr 2, 2018

POTTS, ALEXANDER, BENNETT

CHIEF EXECUTIVE OFFICER

yes

01/2009

Mar 23, 2012

Apr 2, 2018

REINHARD, ELI

Trustee

yes

01/2009

Mar 23, 2012

Apr 2, 2018

REINHARD, ELI

Shareholder

yes

01/2009

Mar 23, 2012

Apr 2, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC

n/a

Independent wealth

$1.4B

n/a

THE WEALTH MANAGEMENT ALLIANCE LLC

n/a

Former SEC adviser

$99.2M

yes

n/a

LORING WARD SECURITIES INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Sacramento

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Apr 2, 2018

$17B

118

n/a

2016

Mar 30, 2017

$15B

112

n/a

2015

Mar 24, 2016

$13B

110

n/a

2014

Mar 27, 2015

$13B

101

n/a

2013

Mar 25, 2014

$10B

n/a

2012

Mar 4, 2013

$8.2B

100

n/a

2011

Mar 23, 2012

$7.2B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$17B

$15B

17.4%

$13B

11.2%

118

112

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

THE WEALTH MANAGEMENT ALLIANCE LLC

Jan 8, 2019

Jan 7, 2014

SAN JOSE, CA

Channel change

Ibd to RIA

66.7%

FOCUS ADVISOR SOLUTIONS, LLC

Dec 13, 2018

Jan 9, 2025

SAN JOSE, CA

Firm absorbed

Ibd to RIA

75.0%