7 Streets Financial, Llc
- Regulatory AUM
- $88.4M
- Discretionary
- $88.4M
- Clients
- 270
- Avg AUM / client
- $327K
- Accounts
- 270
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2024
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 240 | $63.4M | 71.7% |
| High net worth individuals | 30 | $25.0M | 28.3% |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Ray Duca | Chief Compliance Officer | Nov 2015 (11y) | Less than 5% | |
| Travis Shawn Lewis | Chief Executive Officer | Nov 2015 (11y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Joe Duca Financial Services, Inc | Owner | Nov 2015 | A | 50% – 75% |
| Travis Lewis Financial Advisor, Inc | Owner | Nov 2015 | A | 50% – 75% |
| Lewis, Travis, Shawn | Owner | Jul 2011 | B | ≈ 37.5% – 75% via Travis Lewis Financial Advisor, Inc |
| Duca, Joe Ray | Owner | Jul 2011 | B | ≈ 37.5% – 75% via Joe Duca Financial Services, Inc |
Estimated effective ownership (look-through of filed bands):
- Lewis, Travis, Shawn: 75% – 100% of Travis Lewis Financial Advisor, Inc × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Duca, Joe Ray: 75% – 100% of Joe Duca Financial Services, Inc × 50% – 75% direct ≈ 37.5% – 75% of the firm
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) | 03/27/2024 | 943 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial Mar 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: Mar 27, 2024.
View current Form ADV (SEC/IAPD) ↗