L & W Financial, Llc
- Regulatory AUM
- $207M
- Discretionary
- $201M
- Clients
- 724
- Avg AUM / client
- $287K
- Accounts
- 724
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Jul 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 691 | $149M | 72.0% |
| High net worth individuals | 33 | $58.2M | 28.0% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Smith, Elizabeth, Lynnette | Member | Mar 2004 (22y) | 50% – 75% | |
| Wade Smith | Managing Member | Mar 2004 (22y) | 50% – 75% | |
| Noura Osama Adel Quntar | Cco | Nov 2022 (4y) | Less than 5% | |
| William Jeffrey Soltow | Registered representative | Nov 2022 (4y) | ||
| Kevin Thomas Dugan | Registered representative | Jul 2023 (3y) | ||
| Samuel Ignacio Eberts | Registered representative | Jul 2023 (3y) | ||
| Nicholas Scott Smith | Registered representative | CFP | Feb 2024 (2y) | |
| Eddie Joe Mc Gee | Registered representative | Mar 2024 (2y) | ||
| Gabriel Shea Mercer | Registered representative | Dec 2025 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/13/2026 | 1010 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SET UP FEE
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $127M (61% of AUM) Jul 2026
- Capital Group $78.2M (38% of AUM) Jul 2026
- American Funds Distributors, Inc. $42.6M (36% of AUM) Jun 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 13, 2026.
View current Form ADV (SEC/IAPD) ↗