David W. Lewis

LEWIS ASSET MANAGEMENT

LAFAYETTE, CA 94549

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CRD#: 2945897

Professional summary

David William Lewis JR, who also goes by David W Lewis Jr, David Lewis Jr, is a registered financial advisor currently at LEWIS ASSET MANAGEMENT located in Lafayette, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. David has worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David W Lewis Jr | David Lewis Jr

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.

INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Lewis JR's CRS (Customer Relationship Summary).

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 1, 2007 - Present

LEWIS ASSET MANAGEMENT

Office #1: 985 Moraga Rd. Suite 207, Lafayette, CA 94549

RIA

CRD#: 143409

LAFAYETTE, CA

Past

May 2, 2007 - February 15, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LAFAYETTE, CA

Past

September 21, 2001 - May 8, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN JOSE, CA

Past

September 18, 1997 - October 18, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 8, 1997 - May 8, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN JOSE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEWIS ASSET MANAGEMENT

LEWIS ASSET MANAGEMENT | LEWIS ASSET MANAGEMENT, LLC

CRD#: 143409 / SEC#: 801-119399

RIA

Registered Investment Advisory firm - (9/2/2020 Approved)

California

Registered Investment Advisory firm - (10/22/2020 Terminated)

Florida

Registered Investment Advisory firm - (9/22/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (5/28/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/22/2020 Terminated)

Virginia

Registered Investment Advisory firm - (9/23/2020 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).

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

California
(5/1/2007)

IAR

Florida
(7/30/2018)

IAR

New Jersey
(8/3/2018)

IAR

Pennsylvania
(11/18/2011)

IAR

Texas
(5/1/2007)

IAR

Virginia
(11/18/2011)

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

IAR

Series 65

Date: 9/11/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/15/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2008

General Securities Principal Examination

Current Firm

LEWIS ASSET MANAGEMENT

LEWIS ASSET MANAGEMENT | LEWIS ASSET MANAGEMENT, LLC

CRD#: 143409 / SEC#: 801-119399

RIA

Registered Investment Advisory firm - (9/2/2020 Approved)

California

Registered Investment Advisory firm - (10/22/2020 Terminated)

Florida

Registered Investment Advisory firm - (9/22/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (5/28/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/22/2020 Terminated)

Virginia

Registered Investment Advisory firm - (9/23/2020 Terminated)

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Contact information

Main Address

985 Moraga Rd. Suite 207, Lafayette, CA 94549

Mailing Address

Phone number

(925) 284-4033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 A LEWIS ASSET MANAGEMENT 143409 (1/29/2025)

Regulatory assets under management

Total Number of Accounts	542
AUM (Assets Under Management)	$ 214,315,704

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

David W. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Lewis JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

LEWIS ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2001

Series 63

Date: 10/15/1997

Series 31

Date: 6/15/2004

Series 7

Date: 9/17/1997

Series 24

Date: 7/30/2008

Current Firm

LEWIS ASSET MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEWIS ASSET MANAGEMENT

TRUST BUT VERIFY

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