Proactive Wealth Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$9,337,589
Clients
47
9% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
47
HighAverage account size
$198,672
About
The firm is a small, state-registered independent investment adviser that provides financial planning and ongoing investment management to individuals (including high-net-worth clients), trusts, estates and businesses. It manages roughly $9.3 million in client assets across about 47 client relationships and typically begins engagements with a formal financial planning process.
Investment services are delivered on a discretionary basis with a primarily long-term focus, relying on fundamental analysis and portfolios constructed largely from low-cost, diversified mutual funds and ETFs, while retaining legacy holdings when appropriate. The firm may also implement client assets through unaffiliated independent managers and uses an institutional custodian relationship to execute trades and custody client assets.
A distinctive aspect of the firm is a material affiliation with a separate insurance business: the principal is a licensed insurance producer and insurance recommendations are implemented through that separate agency, which can result in commission compensation. The brochure discloses this potential conflict and the firm states it does not collect ongoing advisory fees on assets placed in commissionable insurance products and that insurance activities represent a limited portion of its overall business time.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Retirement income strategy
Long-term care insurance
Business succession planning
Exec comp design
Occupation focus
Founder/Business Owner
Executive
Fee options
Fixed financial planning fees ranging from $1,000 to $10,000 depending on service and client type
$0 - $250,000: 1.75% $250,001 - $1,000,000: 1.50% $1,000,001 - $2,000,000: 1.25% $2,000,001+: Negotiable
Insurance commissions earned by Mr. Lewis as an independent insurance professional, separate from advisory fees
Minimum fee: Financial planning fees range from $1,000 to $10,000 depending on service complexity and client type Fee-only: Investment advisory fees and fixed financial planning fees; no commissions charged by the Advisor for investment management services
Main office location
Proactive Wealth Management, Inc.
12525 S Fort Street
Draper UT 84020, United States
Number of offices
1
Most active in
Proactive Wealth Management, Inc. has reported serving >5 clients in these states in the last 12 months.
Utah
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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