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CFP
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CFP

Douglas Lewis

The Strategic Financial Alliance
45 Years of Experience
Raleigh, NC
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Douglas Lewis is a CFP-designated registered investment advisor at The Strategic Financial Alliance, based in Raleigh, NC, with 45 years of industry experience. Douglas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 1,463 clients with $380M in assets under management.

The Strategic Financial Alliance
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
115 advisors
Number of Clients
1,463 clients
Average Client Portfolio
$261K average
Assets Under Management
$382.0M

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Advisory fees are negotiated between you and your advisor, subject to program maximums up to 2% annually. Third-party asset manager fees generally range from 0.10% to 2.50% annually.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1611 East Millbrook Road, Raleigh, NC, 27609

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History

Regulatory History (1)
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.
Regulatory
December 1989
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Douglas hosts a radio show called "Money Matters with the Lewis Family" on WPTF, answering listener questions about financial topics, dedicating a few hours per week. Douglas is also an insurance agent selling life insurance since 1983, dedicating minimal time to this activity.

Employment History
Current Registrations
The Strategic Financial Alliance, INC.Broker
March 2013 - Present · 13 yrs 7 mos
Lewis Financial Management, LLC
December 2001 - Present · 24 yrs 10 mos
Previous Registrations
H. Beck, INC.Broker
January 1989 - April 2013 · 24 yrs 3 mos
Source Securities, INC.Broker
October 1983 - February 1989 · 5 yrs 4 mos
Fsc Securities CorporationBroker
October 1982 - November 1983 · 1 yr 1 mo
Dean Witter Reynolds INC.Broker
May 1982 - August 1982 · 3 mos
Bache Halsey Stuart Shields IncorporatedBroker
January 1981 - April 1982 · 1 yr 3 mos
State Registrations22 states
ARCACOFLGAINKSLAMAMDMIMONCNYOHORPASCSDTXVAWI
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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