Lew M. Newton

AMERICAN CAPITAL MANAGEMENT

Louisville, KY 40220

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CRD#: 2040901

Professional summary

Lew Moss Newton, who also goes by Lew Newton, Lewis Moss Newton, is a registered financial advisor currently at AMERICAN CAPITAL MANAGEMENT, INC. located in Louisville, Kentucky.

Lew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Lew has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lew Newton | Lewis Moss Newton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

THE ACTION BROS. ENTERTAINMENT BUSINESS, MAGIC AND MIME. 10 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lew Moss Newton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 2, 2012 - Present

AMERICAN CAPITAL MANAGEMENT, INC.

Office #1: 3101 Breckenridge Ln Suite 4b, Louisville, KY 40220

RIA

CRD#: 122452

Louisville, KY

Past

January 14, 2002 - September 10, 2015

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

LOUISVILLE, KY

Past

June 1, 1999 - December 31, 2001

RICHARD B. VANCE & COMPANY

CRD#: 3656

JOLIET, IL

Past

January 16, 1998 - May 19, 1999

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

NEW ALBANY, IN

Past

February 28, 1996 - December 31, 1997

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

December 2, 1994 - December 31, 1995

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

September 21, 1994 - May 2, 2012

HIGHLAND FINANCIAL MANAGEMENT, INC

RIA

CRD#: 141428

LOUISVILLE, KY

Past

November 9, 1992 - December 12, 1994

FIDELITY EQUITY SERVICES CORPORATION

CRD#: 17455

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(5/2/2012)

IAR

Kentucky
(5/2/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AMERICAN CAPITAL MANAGEMENT, INC.

AMERICAN CAPITAL MANAGEMENT, INC. | JT DAVIS ASSET MANAGEMENT, LLC

CRD#: 122452 / SEC#:

Florida

Registered Investment Advisory firm - (3/30/2018 Approved)

Indiana

Registered Investment Advisory firm - (7/30/1991 Approved)

Kentucky

Registered Investment Advisory firm - (1/24/2008 Approved)

Ohio

Registered Investment Advisory firm - (6/28/2013 Approved)

Texas

Registered Investment Advisory firm - (12/5/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4222 Grantline Road, New Albany, IN 47150

Mailing Address

Phone number

(812) 945-9888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	435
AUM (Assets Under Management)	$ 78,724,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Lew M. Newton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lew Moss Newton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN EQUITY INVESTMENT CORPORATION

RICHARD B. VANCE & COMPANY

AMERICAN EQUITY INVESTMENT CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

HIGHLAND FINANCIAL MANAGEMENT, INC

FIDELITY EQUITY SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/1992

SIE

Date: 9/10/2015

Series 7

Date: 9/27/1993

Series 6

Date: 11/6/1992

Current Firm

AMERICAN CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AMERICAN CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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