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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

LWS WEALTH ADVISORS, INC.

CRD 162265

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:73dc059b-b478-64e1-7106-108ff07be1ec

Data as of Mar 6, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Mar 11, 2013 to Mar 6, 2024
42 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: $549MItem 5.F on the latest filing (2024-03-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $529M
Private client RAUM: $530MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 805
Individual clients: 95
High net worth clients: 124
Custody, client assets: $94.8M
SEC number: 801-77756
CRD: 162265
Filings on the tape: 42
First filed: Mar 11, 2013
Latest filed: Mar 6, 2024
Organised: Corporation, New Jersey

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
LIPSET, LANCE, ALDEN	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	05/2012	Mar 11, 2013	Mar 6, 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
2023	Mar 6, 2024	$549M	$529M	3	3	0	n/a	n/a
2022	Mar 22, 2023	$461M	$445M	3	3	0	n/a	n/a
2021	Feb 9, 2022	$518M	$501M	3	3	0	n/a	n/a
2020	Mar 25, 2021	$422M	$408M	3	3	0	n/a	n/a
2019	Feb 6, 2020	$389M	$381M	5	4	0	n/a	n/a
2018	Mar 8, 2019	$283M	$275M	4	3	0	n/a	n/a
2017	Mar 15, 2018	$233M	$225M	4	2	0	n/a	n/a
2016	Mar 30, 2017	$165M	$159M	4	3	n/a	n/a	n/a
2015	Mar 29, 2016	$136M	$117M	4	3	n/a	n/a	n/a
2014	Mar 27, 2015	$121M	$74.9M	4	3	n/a	n/a	n/a
2013	Mar 20, 2014	$108M	$54.1M	4	3	n/a	n/a	n/a
2012	Mar 22, 2013	$106M	$49.3M	4	2	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
2023	$549M	$461M	18.9%	$422M	9.1%	3	3	0	0

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
MAI CAPITAL MANAGEMENT, LLC	3	Mar 12, 2024	Sep 18, 2024	BASKING RIDGE, NJ	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← LIPSET, LANCE, ALDENOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 11, 2013 to presentfactForm ADV

Affiliated with (1)

← LWS WEALTH ADVISORS OF COLORADO, INC.Registered adviserother investment adviser, common control
factForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Mar 12, 2024 to Sep 18, 2024factForm ADV

Registered with (4)

← GREGG COHENAdvisorregistration: previous registration
Apr 29, 2019 to Mar 12, 2024factForm ADV
← LANCE ALDEN LIPSETAdvisorregistration: previous registration
May 4, 2012 to Mar 12, 2024factForm ADV
← VALERIE LAUREN DownsAdvisorregistration: previous registration
Oct 16, 2018 to Mar 12, 2024factForm ADV
← MARC ALAN LESCARRETAdvisorregistration: previous registration
Nov 29, 2017 to Dec 4, 2020factForm ADV

Dated events

Occurred
Mar 12, 2024
Firm absorbed
Lws Wealth Advisors, Inc.'s advisors moved to Mai Capital Management, LLC (Basking Ridge, NJ): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Mar 12, 2024
Advisor changed firm
Gregg Cohen left Lws Wealth Advisors, Inc. for Mai Capital Management, Llc (registered 2024-05-06)
Form ADVobserved 4 days ago
Occurred
Mar 12, 2024
Advisor changed firm
Lance Alden Lipset left Lws Wealth Advisors, Inc. for Mai Capital Management, Llc (registered 2024-03-12)
Form ADVobserved 4 days ago
Occurred
Mar 12, 2024
Advisor changed firm
Valerie Lauren Downs left Lws Wealth Advisors, Inc. for Mai Capital Management, Llc (registered 2024-09-18)
Form ADVobserved 4 days ago
Occurred
Feb 6, 2020
Regulatory AUM changed
Lws Wealth Advisors, Inc. reported RAUM $389.3M, up 38% from $282.5M (2019-07-24 to 2020-02-06)
Form ADVobserved 4 days ago
$107M
Occurred
Mar 11, 2013
First Form ADV filing
Lipset Wealth Strategies, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73dc059b-b478-64e1-7106-108ff07be1ec
First observed: Mar 11, 2013
Last observed: Mar 6, 2024 30 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.

LWS WEALTH ADVISORS, INC.

CRD 162265

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:73dc059b-b478-64e1-7106-108ff07be1ec

Data as of Mar 6, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LIPSET, LANCE, ALDEN

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

05/2012

Mar 11, 2013

Mar 6, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 6, 2024

$549M

$529M

n/a

2022

Mar 22, 2023

$461M

$445M

n/a

2021

Feb 9, 2022

$518M

$501M

n/a

2020

Mar 25, 2021

$422M

$408M

n/a

2019

Feb 6, 2020

$389M

$381M

n/a

2018

Mar 8, 2019

$283M

$275M

n/a

2017

Mar 15, 2018

$233M

$225M

n/a

2016

Mar 30, 2017

$165M

$159M

n/a

2015

Mar 29, 2016

$136M

$117M

n/a

2014

Mar 27, 2015

$121M

$74.9M

n/a

2013

Mar 20, 2014

$108M

$54.1M

n/a

2012

Mar 22, 2013

$106M

$49.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$549M

$461M

18.9%

$422M

9.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Mar 12, 2024

Sep 18, 2024

BASKING RIDGE, NJ

Firm absorbed

RIA to RIA

100.0%