RIA Intel›Advisers›California›LWI FINANCIAL INC.

LWI FINANCIAL INC.

Advisory

N·SAN JOSE, CA

Data as of Apr 2, 2018 · Source: SEC Form ADV

Total AUM

$17.2B

1-Year AUM Growth

+17.4%

3-Year CAGR

+11.1%

Employees

25

Assets Under Management

Total AUM$17.2B

Discretionary AUM$0

Non-Discretionary AUM$17.2B

Discretionary %0%

Total Clients—

Team

Total Employees25

Investment Advisers118

Employee Growth (1Y)—

Filing History

Total Filings on Record70

First FilingMar 30, 2001

Latest FilingApr 2, 2018

🔒 Full AUM trend chart and 70 historical filings spanning 17+ 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 LWI FINANCIAL INC.

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