DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
7 Streets Financial, LLC
Latest filing Mar 27, 2024
First filing on the tape Nov 24, 2019 · 7 filings
SEC status approved since Jan 2, 2020
RAUM
$88.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$88.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$88.4M as of Mar 27, 2024
Mar 7, 2020$120M then
HNW client RAUM$25.0M as of Mar 27, 2024
Mar 7, 2020$50.0M then
State-registered IARs (5.B.3)2 as of Mar 27, 2024
Mar 7, 20202 then
Employees (5.A)5 as of Mar 27, 2024
Mar 7, 20205 then
Private funds: no history
RAUM -3.9% over the last fiscal year-8.4% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $44.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $833,333derivedHNW RAUM over HNW clients
- Average account
- $327,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- $88.4MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$63.4M72%
- High-net-worth individuals$25.0M28%
- Individual clients
- 240reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 270reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Travis Shawn Lewis to Commonwealth Financial NetworkDec 31, 2025 · RIA to affiliated broker-dealer or bank
- Joseph Ray Duca to Commonwealth Financial NetworkDec 31, 2025 · RIA to affiliated broker-dealer or bank
- Erik John Kumas to Commonwealth Financial NetworkSep 11, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- Travis Shawn Lewis from Blueprint Wealth Partners, LLCApr 22, 2016 · Other
- Joseph Ray Duca from Blueprint Wealth Partners, LLCApr 22, 2016 · Other
- Erik John Kumas from Blueprint Wealth Partners, LLCApr 22, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Commonwealth Financial NetworkDec 31, 2025 · San Diego, Ca
- 3 joined from Blueprint Wealth Partners, LLCAug 1, 2016 · San Diego, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ray Joseph Duca · Chief Compliance Officercontrolsince 11/2015 · owns less than 5%
- Shawn Travis Lewis · Chief Executive Officercontrolsince 11/2015 · owns less than 5%
Entity owners
- Joe Duca Financial Services, Inc · Ownerdirect · owns 50% to 75%
- Travis Lewis Financial Advisor, Inc · Ownerdirect · owns 50% to 75%
- Duca, Joe Ray · Ownerindirect · owns 75% or more of Joe Duca Financial Services, Inc
- Lewis, Travis, Shawn · Ownerindirect · owns 75% or more of Travis Lewis Financial Advisor, Inc
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 0 | 0 | 1 | 1 | |
| San Ramon, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Livermore, CA2 employees
- La Mesa, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 275 to 270Mar 31, 2023 to Mar 27, 2024
- Individual clients · 245 to 240Mar 31, 2023 to Mar 27, 2024
- HQ city · SAN RAMON to SAN DIEGOMar 31, 2023 to Mar 27, 2024
- Other offices · 1 to 2Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $92.0M to $88.4MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $30.0M to $25.0MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $61.8M to $63.4MMar 31, 2023 to Mar 27, 2024
- RAUM · $92.0M to $88.4MMar 31, 2023 to Mar 27, 2024
- Financial planning clients · 26-50 to 51-100Mar 10, 2022 to Mar 31, 2023
- Discretionary RAUM · $100M to $92.0MMar 10, 2022 to Mar 31, 2023
- HNW RAUM · $40.0M to $30.0MMar 10, 2022 to Mar 31, 2023
- Individual RAUM · $59.5M to $61.8MMar 10, 2022 to Mar 31, 2023
- RAUM · $100M to $92.0MMar 10, 2022 to Mar 31, 2023
- Accounts · 365 to 275Mar 1, 2021 to Mar 10, 2022
- Discretionary RAUM · $115M to $100MMar 1, 2021 to Mar 10, 2022
- HNW RAUM · $45.0M to $40.0MMar 1, 2021 to Mar 10, 2022
- Individual RAUM · $70.0M to $59.5MMar 1, 2021 to Mar 10, 2022
- Pension RAUM · unset to 0.0Mar 1, 2021 to Mar 10, 2022
- Pooled vehicle RAUM · unset to 0.0Mar 1, 2021 to Mar 10, 2022
- RAUM · $115M to $100MMar 1, 2021 to Mar 10, 2022
- Accounts · 375 to 365May 14, 2020 to Mar 1, 2021
- HNW clients · 100 to 30May 14, 2020 to Mar 1, 2021
- Individual clients · 300 to 245May 14, 2020 to Mar 1, 2021
- Financial planning clients · 251-500 to 26-50May 14, 2020 to Mar 1, 2021
- Discretionary RAUM · $120M to $115MMay 14, 2020 to Mar 1, 2021
- HNW RAUM · $50.0M to $45.0MMay 14, 2020 to Mar 1, 2021
- RAUM · $120M to $115MMay 14, 2020 to Mar 1, 2021
- Accounts · 335 to 375Nov 24, 2019 to Mar 7, 2020
- BD registered reps · 3 to 4Nov 24, 2019 to Mar 7, 2020
- HNW clients · 50 to 100Nov 24, 2019 to Mar 7, 2020
- Individual clients · 200 to 300Nov 24, 2019 to Mar 7, 2020
- Employees · 4 to 5Nov 24, 2019 to Mar 7, 2020
- Insurance-licensed employees · 3 to 0Nov 24, 2019 to Mar 7, 2020
- Financial planning clients · 51-100 to 251-500Nov 24, 2019 to Mar 7, 2020
- HQ city · SAN DIEGO to SAN RAMONNov 24, 2019 to Mar 7, 2020
- State-registered IARs · 3 to 2Nov 24, 2019 to Mar 7, 2020
- Other offices · 2 to 1Nov 24, 2019 to Mar 7, 2020
- Discretionary RAUM · $110M to $120MNov 24, 2019 to Mar 7, 2020
- HNW RAUM · $49.3M to $50.0MNov 24, 2019 to Mar 7, 2020
- Individual RAUM · $60.2M to $70.0MNov 24, 2019 to Mar 7, 2020
Signals
4 dated events
- Travis Shawn Lewis left 7 Streets Financial, Llc for Commonwealth Financial Network (registered 2025-02-18)Dec 31, 2025 · Advisor changed firm · fact
- Joseph Ray Duca left 7 Streets Financial, Llc for Commonwealth Financial Network (registered 2025-02-18)Dec 31, 2025 · Advisor changed firm · fact
- 2 advisors left 7 Streets Financial, LLC (San Diego, CA) for Commonwealth Financial Network on the same dayDec 31, 2025 · Team lift-out · derived
- 7 Streets Financial, Llc filed its initial SEC registration (Form ADV)Nov 24, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/7-streets-financial/?viewAsMember=truereportedpublic record, Form ADV, Sep 17, 2026
- Website
- 7STS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 619-798-3372reportedpublic record, Form ADV, Mar 27, 2024
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026