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James Lewis

Equitable Advisors, LLC
13 Years of Experience
Mishawaka, IN
2 DisclosuresBroker
View SEC Summary
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James Lewis is a registered investment advisor at Equitable Advisors, LLC, based in Mishawaka, IN, with 13 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning, and 1 more. Their firm serves 73,011 clients with $42B in assets under management.

Equitable Advisors, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4651 advisors
Number of Clients
73,011 clients
Average Client Portfolio
$582K average
Assets Under Management
$42.5B

Fee Structure

Planning is included in investment management (also available separately)

Equitable Advisors offers investment management through LPL Financial programs and third-party asset managers (TAMPs). Fees vary depending on the program and assets invested.

For LPL programs like SAM, fees are based on a percentage of your portfolio. In some cases, you can choose whether to pay transaction charges directly or have the advisor pay them, which affects the overall advisory fee.

When using TAMPs, the fees are determined by the TAMP and a portion is paid to Equitable Advisors. The specific fees, minimums, and arrangements vary by TAMP, so it's important to review their brochures.

Equitable Advisors also offers ERISA fiduciary services to retirement plans, with fees determined by the specific services provided.

View Full SEC Brochure

Location

320 West 4th Street, Suite C, Mishawaka, IN, 46544

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2020
Denied
Criminal
March 2005
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is the owner and sole proprietor of Studebaker Watch Company since January 2023. He spends a few hours per week on this activity.

Employment History
Current Registrations
Equitable Advisors, LLC
April 2015 - Present · 11 yrs 6 mos
Equitable Advisors, LLCBroker
April 2015 - Present · 11 yrs 6 mos
Previous Registrations
Waddell & Reed
June 2014 - March 2015 · 9 mos
Waddell & ReedBroker
August 2013 - March 2015 · 1 yr 7 mos
State Registrations3 states
ALINNC
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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