Investment adviser · CRD 111861
LWI FINANCIAL INC.
Investment adviser filing (IA)
SAN JOSE, CA, United States · Form ADV filed Apr 2, 2018
- Regulatory AUM
- $17.2B Form ADV · Item 5.F
- Client accounts
- 25,748 Accounts, not individual clients
- Employees
- 118 Reported in this filing
- Advisory professionals
- 25 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Individuals | 23,601 | $9,974,191,679 | 57.9% |
| High-net-worth individuals | 1,719 | $3,816,377,924 | 22.2% |
| Other clients | 20 | $2,904,721,675 | 16.9% |
| Retirement plans | 332 | $442,921,600 | 2.6% |
| Corporations & businesses | 35 | $44,628,148 | 0.3% |
| Charities | 40 | $37,240,983 | 0.2% |
| Insurance companies | Fewer than 5 | $970,531 | 0.0% |
| Investment companies | 1 | $0 | 0.0% |
Filing source
Form ADV 1195914 · Apr 2, 2018 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Apr 2, 2018. View historical filings
Reported services
Financial planning · Individual portfolio management · Investment company portfolio management · Business portfolio management · Selection of other advisers · Publication of newsletters · Educational seminars
Compensation
Percentage of assets · Fixed
Principal office
10 ALMADEN BLVD., 15TH FLOORSAN JOSE, CA, 95113, United States
CRD 111861
Filing source
Form ADV 1195914 · Apr 2, 2018 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.