J.Derek Lewis & Associates, Inc.
- Regulatory AUM
- $2.3B
- Discretionary
- $2.1B
- Clients
- 7,943
- Avg AUM / client
- $287K
- Accounts
- 7,943
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Jul 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 6,315 | $832M | 36.5% |
| High net worth individuals | 1,376 | $1.1B | 46.5% |
| Pension and profit sharing plans | 77 | $167M | 7.34% |
| Charitable organizations | 100 | $113M | 4.97% |
| Other investment advisers | 26 | $31.2M | 1.37% |
| Corporations and other businesses | 49 | $73.8M | 3.24% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Safeway Electric Retirement Savings Plan Safeway Building Systems, Inc. Dba Safeway Electric | 2024 | |
| Orangewood Foundation 403(b) Plan Orangewood Foundation | 2024 | |
| Astro Pak Corporation 401 K Plan Astro Pak Corporation | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lewis, John, Derek | Founder, Director | Aug 1980 (46y) | 25% – 50% | |
| Kelly Allan Dunagan | Financial Adviser, Owner | Aug 2005 (21y) | 10% – 25% | |
| Kathryn Elizabeth Espinili | Chief Compliance Officer | May 2006 (20y) | 5% – 10% | |
| Rion James Dalby | Financial Adviser, Owner | Oct 2006 (20y) | 5% – 10% | |
| Reny Vessela M Greenleaf | Chief Financial Officer | Aug 2008 (18y) | 5% – 10% | |
| Robert Wayne Knutsen | Chief Executive Officer | Jun 2011 (15y) | 10% – 25% | |
| Douglas Glenn Hyepock | Financial Adviser, Owner, Director | Chartered Financial Consultant | Sep 2011 (15y) | 10% – 25% |
| Andrew Joseph Vidal | Corporate Secretary | CFP | Feb 2018 (8y) | Less than 5% |
| Mark Anthony Ferdi | Financial Adviser, Owner | Aug 2019 (7y) | Less than 5% | |
| Joshua James Henslick | Registered representative | Jun 2023 (3y) | ||
| Diana Theresa Labruna | Registered representative | Apr 2024 (2y) | ||
| Pierce Maxwell Kramer | Registered representative | Sep 2025 (1y) | ||
| Jessica Viale | Registered representative | Feb 2026 (0y) |
Undisclosed: 0% – 30% 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.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Safeway Electric Retirement Savings Plan | Safeway Building Systems, Inc. Dba Safeway Electric | 196 | $3.0M | 01/01/2024 |
| Orangewood Foundation 403(b) Plan | Orangewood Foundation | 189 | $7.2M | 01/01/2024 |
| Astro Pak Corporation 401 K Plan | Astro Pak Corporation | 167 | $24.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/08/2026 | 1.01 MB | 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Capital Group $1.3B (59% of AUM) Jul 2026
- American Funds Distributors, Inc. $989M (68% of AUM) May 2024
- Charles Schwab & Co. $862M (38% of AUM) Jul 2026
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 08, 2026.
View current Form ADV (SEC/IAPD) ↗