RIA Intel›Advisers›California›J.DEREK LEWIS & ASSOCIATES, INC.

J.DEREK LEWIS & ASSOCIATES, INC.

Advisory

N·NEWPORT BEACH, CA

Data as of May 1, 2026 · Source: SEC Form ADV

Total AUM

$2.3B

1-Year AUM Growth

+21.7%

3-Year CAGR

+9.0%

Employees

10

Assets Under Management

Total AUM$2.3B

Discretionary AUM$2.1B

Non-Discretionary AUM$171M

Discretionary %92.5%

Total Clients7,459

Team

Total Employees10

Investment Advisers10

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record52

First FilingNov 14, 2006

Latest FilingMay 1, 2026

🔒 Full AUM trend chart and 52 historical filings spanning 20+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on J.DEREK LEWIS & ASSOCIATES, INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.