Lwi Financial Inc.

Lwi Financial Inc. (CRD# 111861) is a financial advisory firm headquartered in San Jose, CA. They manage $14,673,915,607 in 50,587 accounts and serve the financial needs of clients across 51 states (or territories).

By the Numbers
  • Total Assets Under Management
    14,674
    MILLION
  • Total Number of Accounts
    50,587
    ACCOUNTS
  • Average Account Value
    $290,073
Compensation Options
  • A percentage of assets under your management
  • 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 49 top financial advisors.
1
William Blanchette
CRD#: 5128798
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

William Blanchette (CRD# 5128798) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 11 years of experience in the finance industry. William Blanchette 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
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 14 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.

3
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 16 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.

4
Mark R. Fonville
CRD#: 4475793
Richmond, VA
96
Wealthminder
score

Mark Fonville (CRD# 4475793) is an Investment Advisor Representative working at Lwi Financial Inc. in Richmond, VA and has over 16 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.

5
Carl S. Lamb
CRD#: 5020667
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Carl Lamb (CRD# 5020667) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 12 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 20 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 31 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
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 20 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.

9
Timothy M. Wochok
CRD#: 5225956
10 Almaden Blvd., 15th Floor, San Jose, CA 95113
96
Wealthminder
score

Timothy Wochok (CRD# 5225956) is an Investment Advisor Representative working at Lwi Financial Inc. in San Jose, CA and has over 11 years of experience in the finance industry. Timothy Wochok 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
Steven J. Atkinson
CRD#: 2908997
Omaha, NE
93
Wealthminder
score

Steven Atkinson (CRD# 2908997) is an Investment Advisor Representative working at Lwi Financial Inc. in Omaha, NE and has over 20 years of experience in the finance industry.

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