LWI Financial Review


Trust Score 86%
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LWI Financial, federally registered in 1998, is a Registered Investment Advisor (RIA) in 51 state(s) with a licensed staff of 41 advisors. LWI Financial manages $17.22 billion and provides investment advisory services for 25,320 clients (1:618 advisor/client ratio).

LWI Financial requires a $100,000 minimum investment and charges between 2.60% and 0.80% for ongoing portfolio management services, depending on the size of the portfolio.

Benefits


  • Firm has $1B or more in assets under management
  • Firm has been federally registered for 20 years
  • Firm does not have a disciplinary history
  • Firm services over 1,000 clients
  • Firm uses a trusted custodian

Considerations


  • Firm is a broker-dealer, or is affiliated with one, and may be subject to compensation-related conflicts of interest
  • There is only one licensed advisor for every 618 clients
  • Firm privately manages or owns some of the products they recommend and may be incentivized to sell those products over others to their investors


KEY
location_city Company Profile
pan_tool Disciplinary History
crop Conflicts of Interest


Managed Investing


Feature Value
Estimated Fees (Annual) $2,600 on a $100,000 portfolio
Annual Management Fee Notes None
Minimum Investment $100,000
Minimum Annual Fee $0
Average Account AUM $680,136
Broker-Dealer Hybrid Yes
Disciplinary History No
Total AUM $17.22 billion
Advisor / Client Ratio 1:618
Headquarters San Jose, CA
SEC Filings Forms and Brochures


Annual Fee Ranges Percent
$0 to $500,000 2.60%
$500,001 to $1,000,000 1.40%
$1,000,001 to $5,000,000 1.00%
$5,000,001+ 0.80%


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