Lwi Financial Inc.

Lwi Financial Inc. (CRD# 111861) is a financial advisory firm headquartered in San Jose, CA. They manage $13,061,665,378 in 52,336 accounts and serve the financial needs of clients across 51 states (or territories).

By the Numbers
  • Total Assets Under Management
    13,062
    MILLION
  • Total Number of Accounts
    52,336
    ACCOUNTS
  • Average Account Value
    $249,573
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Financial Advisors at Lwi Financial Inc.
Showing 1 - 10 of 40 top financial advisors.
1
Matthew J. Carvalho
CRD#: 4669730
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Matthew Carvalho (CRD# 4669730) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 13 years of experience in the finance industry. Matthew Carvalho has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Joni Clark
CRD#: 1966584
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Joni Clark (CRD# 1966584) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 14 years of experience in the finance industry. Joni Clark has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

3
Mark R. Fonville
CRD#: 4475793
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Mark Fonville (CRD# 4475793) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 14 years of experience in the finance industry. Mark Fonville has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

4
Richard W. Gates
CRD#: 2984756
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Richard Gates (CRD# 2984756) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 18 years of experience in the finance industry. Richard Gates has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

5
Carl S. Lamb
CRD#: 5020667
San Diego, CA
96
Wealthminder
score

Carl Lamb (CRD# 5020667) is an Investment Advisor Representative working at Lwi Financial Inc. in San Diego, CA and has over 10 years of experience in the finance industry. Carl Lamb has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

6
Michael D. Ozburn
CRD#: 2931175
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Michael Ozburn (CRD# 2931175) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 18 years of experience in the finance industry. Michael Ozburn has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

7
Alexander C. Prentice
CRD#: 1351248
2850 Gateway Oaks Drive, Suite 490, Sacramento, CA 95833
96
Wealthminder
score

Alexander Prentice (CRD# 1351248) is an Investment Advisor Representative working at Lwi Financial Inc. in Sacramento, CA and has over 29 years of experience in the finance industry. Alexander Prentice has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

8
Aaron M. Rubin
CRD#: 5513214
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Aaron Rubin (CRD# 5513214) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 8 years of experience in the finance industry. Aaron Rubin has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

9
Angela M. Stover
CRD#: 2896930
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Angela Stover (CRD# 2896930) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 19 years of experience in the finance industry. Angela Stover has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

10
Alan B. Werba
CRD#: 837358
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Alan Werba (CRD# 837358) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 34 years of experience in the finance industry. Alan Werba has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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