Lewis Financial Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Lewis Financial Management serves individuals, couples, retirees, widows and small business owners with comprehensive financial planning and investment advice. The firm provides tailored plans covering cash flow, tax and estate planning and offers non‑discretionary portfolio recommendations across mutual funds, bonds, REITs and other alternative pooled investments.
The firm follows an orthodox Certified Financial Planner process, building a personalized database to produce a multi‑section written financial plan and then providing ongoing supervisory services, regular reports and periodic portfolio rebalancing. Clients retain final investment control—Lewis Financial Management does not accept discretionary trading authority and reviews accounts at least semi‑annually while sending monthly reporting.
What is noteworthy about the firm is the combination of a relatively small client roster and substantial assets under management held entirely on a non‑discretionary basis, resulting in materially higher AUM per advisor and per client than many peers. The firm also offers implementation through an affiliated broker‑dealer—receiving commissions and 12b‑1 fees on certain recommendations—and is operating under a strategic transition arrangement with another SEC‑registered adviser during an announced transition of its advisory business.
Client services
Expertise
Occupation focus
Fee options
Initial flat fee of $10,000 for financial plan document and database construction
$0 - $1,500,000: 0.38% $1,500,001 - $2,500,000: 0.20% $2,500,001+: 0.15%
Commissions up to 1% front-end and 0.25% 12b-1 fees on mutual funds; up to 7% commissions on direct investments; paid to registered representatives when implementing recommendations
Initial Financial Advisory Consultation at $250 per hour with a 3-hour minimum
Account minimum: $2,000,000 Minimum fee: Minimum quarterly fee of $1,675 for Comprehensive Financial Planning contracts executed after March 27, 2023 Fee-only: Initial flat fee of $10,000 for database construction and financial plan document, plus ongoing annual fees based on tiered AUM schedule
Main office
1611 East Millbrook Road
Raleigh NC 27609
Advisors at this office
3
Most active in
Florida · North Carolina · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Douglas L
CFP®, Series 63
Raleigh, NC
Lewis Financial Management, LLC
Douglas Lewis is a CFP® professional with 44 years of industry experience. He has been with Lewis Financial Management, LLC since 1984 and is also affiliated with The Strategic Financial Alliance, Inc. Outside of his advisory work, he is a licensed life insurance agent. Lewis Financial Management serves individuals, couples, retirees, widows, and small business owners with personalized financial planning and investment advice. The firm emphasizes fundamental, research-based analysis and a long-term buy-and-hold investment approach, managing over $431 million on a non-discretionary basis with a focus on charitable tax planning and direct investment programs.
David N
Series 65
Raleigh, NC
Lewis Financial Management, LLC
David Nettesheim is a financial advisor at Lewis Financial Management, LLC in Raleigh, NC, holding a Series 65 credential with 10 years of industry experience. He has been with Lewis Financial Management since 2008. Lewis Financial Management provides personalized comprehensive financial planning and investment advice to individuals, couples, retirees, widows, and small business owners. The firm emphasizes fundamental, research-based analysis and a long-term buy-and-hold approach, offering non-discretionary advice with semi-annual portfolio reviews.
Linda L
Series 63, Series 65
Raleigh, NC
Lewis Financial Management, LLC
Linda Lewis is the sole advisor at Lewis Financial Management, LLC in Raleigh, NC, holding Series 63 and Series 65 licenses with 29 years of industry experience. She has worked at The Strategic Financial Alliance, Inc. since 2013 and has been with Lewis Financial Management since 1984. Outside of her advisory work, she hosts a radio program, "Money Matters with the Lewis Family," on WPTF AM 680, where she answers listener questions on various financial topics. Lewis Financial Management provides comprehensive financial planning and investment advice to individuals, couples, retirees, widows, and small business owners. The firm employs a research-based, long-term buy-and-hold investment approach with semi-annual portfolio reviews and focuses on non-discretionary advice tailored through a personalized financial planning database.
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