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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

LEWIS FINANCIAL MANAGEMENT, LLC

CRD 116344

RALEIGH, NC

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:6f8fbf34-fabf-35b5-e451-bf2b3693b212

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 25, 2026
20 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $339MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $339MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $113Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 88
Individual clients: 3
High net worth clients: 85
SEC number: 801-60666
CRD: 116344
Filings on the tape: 20
First filed: Mar 30, 2012
Latest filed: Mar 25, 2026
Organised: Limited Liability Company, NC
Website: lfmadvisor.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
LINDA PEREZ LEWIS	n/a	RALEIGH, NC	24	42	n/a	yes
DOUGLAS JOEL LEWIS	Certified Financial Planner	RALEIGH, NC	24	45	n/a	yes
DAVID ALLEN NETTESHEIM	n/a	RALEIGH, NC	10	18	n/a	no

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
LEWIS, DOUGLAS, JOEL	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	D	yes	10/2004	Mar 30, 2012	Mar 27, 2024
LEWIS, LINDA, PEREZ	Member	D	yes	02/2001	Mar 30, 2012	Mar 27, 2024

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
2025	Mar 25, 2026	$339M	$0	2	1	0	n/a	n/a
2024	Mar 31, 2025	$431M	$0	2	1	0	n/a	n/a
2023	Mar 27, 2024	$415M	$0	5	4	0	n/a	n/a
2022	Mar 27, 2023	$357M	$0	5	4	0	n/a	n/a
2021	Mar 30, 2022	$417M	$0	6	3	0	n/a	n/a
2020	Mar 25, 2021	$393M	$0	6	3	0	n/a	n/a
2019	Mar 26, 2020	$373M	$0	6	3	0	n/a	n/a
2018	Mar 29, 2019	$323M	$0	6	3	0	n/a	n/a
2017	Mar 29, 2018	$298M	$0	7	3	0	n/a	n/a
2016	Mar 31, 2017	$287M	$0	7	3	n/a	n/a	n/a
2015	Mar 29, 2016	$219M	$0	7	3	n/a	n/a	n/a
2014	Mar 23, 2015	$215M	$0	7	3	n/a	n/a	n/a
2013	Mar 26, 2014	$171M	$0	6	3	n/a	n/a	n/a
2012	Mar 19, 2013	$145M	$0	6	3	n/a	n/a	n/a
2011	Mar 30, 2012	$131M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

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
2025	$339M	$431M	-21.4%	$357M	-1.7%	2	2	0	0

Relationships

Registered with (6)

← DAVID ALLEN NETTESHEIMAdvisorregistration: current employment
Oct 30, 2015 to presentfactForm ADV
← LINDA PEREZ LEWISAdvisorregistration: current employment
Dec 31, 2001 to presentfactForm ADV
← DOUGLAS JOEL LEWISAdvisorregistration: current employment
Dec 31, 2001 to presentfactForm ADV
← DEBORAH REBECCA LEWISAdvisorregistration: previous registration
Aug 6, 2014 to Mar 31, 2025factForm ADV
← Daniel Danilovich LewisAdvisorregistration: previous registration
Aug 22, 2022 to Mar 27, 2023factForm ADV
← Troy McKay SmithAdvisorregistration: previous registration
Dec 31, 2001 to Sep 30, 2003factForm ADV

Controls (2)

← LEWIS, LINDA, PEREZOwnerMEMBER, ownership code D, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV
← LEWIS, DOUGLAS, JOELOwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 30, 2012 to Mar 27, 2024factForm ADV

Dated events

Occurred
Mar 31, 2025
Advisor changed firm
Deborah Rebecca Lewis left Lewis Financial Management, Llc for The Strategic Financial Alliance (registered 2025-04-23)
Form ADVobserved 3 days ago
Occurred
Mar 27, 2023
Advisor changed firm
Daniel Danilovich Lewis left Lewis Financial Management, Llc for Advice And Planning Services (registered 2023-05-05)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f8fbf34-fabf-35b5-e451-bf2b3693b212
First observed: Mar 30, 2012
Last observed: Mar 25, 2026 5 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.

LEWIS FINANCIAL MANAGEMENT, LLC

CRD 116344

RALEIGH, NC

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:6f8fbf34-fabf-35b5-e451-bf2b3693b212

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:48 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

LINDA PEREZ LEWIS

n/a

RALEIGH, NC

n/a

yes

DOUGLAS JOEL LEWIS

Certified Financial Planner

RALEIGH, NC

n/a

yes

DAVID ALLEN NETTESHEIM

n/a

RALEIGH, NC

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEWIS, DOUGLAS, JOEL

MANAGING MEMBER, CHIEF COMPLIANCE OFFICER

yes

10/2004

Mar 30, 2012

Mar 27, 2024

LEWIS, LINDA, PEREZ

Member

yes

02/2001

Mar 30, 2012

Mar 27, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$339M

n/a

2024

Mar 31, 2025

$431M

n/a

2023

Mar 27, 2024

$415M

n/a

2022

Mar 27, 2023

$357M

n/a

2021

Mar 30, 2022

$417M

n/a

2020

Mar 25, 2021

$393M

n/a

2019

Mar 26, 2020

$373M

n/a

2018

Mar 29, 2019

$323M

n/a

2017

Mar 29, 2018

$298M

n/a

2016

Mar 31, 2017

$287M

n/a

2015

Mar 29, 2016

$219M

n/a

2014

Mar 23, 2015

$215M

n/a

2013

Mar 26, 2014

$171M

n/a

2012

Mar 19, 2013

$145M

n/a

2011

Mar 30, 2012

$131M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$339M

$431M

-21.4%

$357M

-1.7%