Lefavi Wealth Management, Inc.
- Regulatory AUM
- $445M
- Discretionary
- $445M
- Clients
- 576
- Avg AUM / client
- $773K
- Accounts
- 576
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 413 | $97.2M | 21.8% |
| High net worth individuals | 163 | $348M | 78.2% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stuart Enterline | President, Chief Compliance Officer | Jan 2020 (7y) | 75% or more | |
| Jay Van Greenburg | Deputy Compliance Officer | CFP | Jan 2021 (6y) | Less than 5% |
| Jeffrey Craig Kemp | Registered representative | CFP | Jan 2024 (3y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/25/2026 | 1.17 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE SECURITIES EXCHANGE COMMISSION ALLEGED BREACHES OF FIDUCIARY DUTY AND DISCLOSURE FAILURES IN CONNECTION WITH RECOMMENDATIONS AND INVESTMENTS IN NON-TRADED REAL ESTATE INVESTMENT TRUSTS, BUSINESS DEVELOPMENT COMPANIES, AND PRIVATE PLACEMENTS FROM JUNE 2014 TO DECEMBER 2016. Status: Final Sanction Detail: LEFAVI WEALTH MANAGEMENT PAID DISGORGEMENT OF $994,296.10 AND PREJUDGMENT INTEREST OF $144,439.12 ON MARCH 19, 2019. Summary: UPON ENTERING INTO SETTLEMENT ON SEPTEMBER 3, 2019, LEFAVI WEALTH MANAGEMENT WAS CENSURED AND ORDERED TO CEASE AND DESIST. DISGORGEMENT AND PREJUDGMENT INTEREST WAS RETURNED TO CLIENTS ON MARCH 19, 2019.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $405M (91% of AUM) Mar 2026
- Intl Fcstone Financial Inc. $210M (69% of AUM) Aug 2020
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: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗