JDL Securities

What JDL Securities does

JDL Securities, doing business as JDL Advisers and legally structured as J. Derek Lewis & Associates with the broker-dealer affiliate JDL Securities Corporation, is a privately held, dually registered investment advisory and brokerage firm founded in 1991 by J. Derek Lewis and headquartered at 3991 MacArthur Blvd., 4th Floor, Newport Beach, California. The firm provides individualized long-term financial planning and investment advisory services to individuals, families, corporate retirement plan sponsors, and institutional clients including endowments and foundations, with a service menu that spans accumulation planning, retirement income planning, tax planning, Social Security maximization, estate and succession planning, life/health/disability and long-term care insurance, charitable trusts, cash management, and college planning.

The firm operates a service-based, human-advisor model with no proprietary technology platform disclosed; client account access is delivered through a third-party portal powered by Tamarac Inc., and back-office functions rely on standard third-party accounting and operational software. Its offering is described as unified and personalized rather than modular, with advisors designing custom "all-weather portfolios" for each client's situation and goals. Operations are run by approximately 19 named professionals including founders, partners, investment advisers, a CEO/Managing Partner (Robert Knutsen), Chief Financial Officer (Reny Greenleaf), Chief Compliance Officer (Kathryn Espinili), operations, and client service staff.

JDL Advisers generates revenue through recurring, fee-based investment advisory services structured as a percentage of assets under management (AUM) negotiated individually with clients, consistent with its SEC-registered investment adviser status; the dual registration through JDL Securities Corporation also enables brokerage commission revenue streams. The firm is closely held among the founding and long-tenured leadership team with no external private equity or institutional investment disclosed, and its go-to-market motion is relationship-driven, relying on referrals from accountants and estate planning attorneys, community involvement through organizations such as For The Children Foundation, Olive Crest, and Family Building Foundation, and word-of-mouth client referrals rather than digital marketing.

Name

JDL Securities

Legal name

J. Derek Lewis & Associates

Website

https://jdlsecurities.com

Company type

Private

Founded year

1991

Operating status

Operating

Headcount range

11–50 employees

Short description

JDL Securities (dba JDL Advisers) is a privately held, SEC-registered investment advisory firm founded in 1991 in Newport Beach, California, providing individualized financial planning, investment management, and retirement, tax, and estate advisory services to individuals, families, corporate retirement plan sponsors, and endowments.

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD)

akta.pro secondary industries

Broker-Dealer Affiliated Wealth Advisory (FSAEABAB), Retirement Plan Participant Advice & Managed Accounts (FSAEABAF)

Keywords

• Investment advisory services
• Wealth management planning
• Retirement income planning
• Estate and succession planning
• Financial planning services

Headquarters

HQ city

Newport Beach

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Investment Advisory Fees: Fee-based investment advisory services as an SEC registered investment adviser. The firm is dually registered and works with clients on personalized financial planning and portfolio management.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels3 records

Core offering

JDL Advisers (formerly JDL Securities Corporation / J. Derek Lewis & Associates) is a privately held, SEC-registered investment advisory firm that designs personalized investment portfolios and delivers comprehensive long-term financial planning. The firm provides fee-based wealth management services including accumulation planning, retirement income planning, tax planning, social security maximization, estate and succession planning, life and long-term care insurance, charitable giving strategies, corporate retirement plan design, and endowment and foundation investment management.

Product overview

JDL Advisers offers a comprehensive suite of financial advisory services focused on individualized long-term financial planning. The firm provides investment portfolio design and management, retirement income planning, tax planning, estate planning, insurance planning, and specialized services for charitable giving, corporate retirement plans, and endowments. The offering is structured as a unified advisory service model rather than a modular technology platform, with advisors working directly with clients to create personalized investment strategies and financial plans.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Advisory Services Personalized financial planning and investment portfolio design services tailored to each client's unique situation and financial goals, delivered as a fee-based SEC registered investment adviser offering.
• Accumulation Planning

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• Client Portal (Tamarac)supportingTechnology or IntegrationThe firm provides clients with access to a client portal powered by Tamarac Inc. for account access and management.

Scale indicators2 records

Recent moves7 records

Expansion highlights4 records

Direct peers

• Steward Partners: Hybrid wealth management firm partnering with Raymond James that serves HNW individuals with comprehensive planning. Steward Partners is comparable due to its dually registered adviser/broker-dealer model and HNW planning focus.
• Buckingham Strategic Wealth: National RIA focused on comprehensive, evidence-based financial planning for HNW households. Buckingham is a directly comparable peer because it competes for the same affluent clientele seeking fee-based, planning-centric wealth advisory services.
• Carson Wealth: RIA and coaching platform serving HNW clients and other advisors with comprehensive financial planning. Carson is a directly comparable peer given its planning-led model, fee-based advisory, and multi-generational wealth focus.
• Commonwealth Financial Network: Private broker-dealer/RIA serving independent financial advisers who provide comprehensive planning to HNW clients. Commonwealth is a directly comparable peer because it supports dually registered firms with similar HNW planning services.
• Merit Financial Advisors: Mid-sized RIA providing comprehensive financial planning, tax, and investment management to HNW households. Merit is a directly comparable peer given its planning-led model and HNW client focus.
• Halbert Hargrove: Long-standing, fee-only RIA headquartered in Irvine, California, serving HNW individuals and families with comprehensive financial planning. Halbert Hargrove is a directly comparable Southern California boutique RIA with a similar client segment, fee model, and full-stack wealth planning service set.

Broad incumbents

• Hightower Advisors: Wealth management firm with a partnership model serving HNW clients, families, and institutions through comprehensive planning. Hightower is a broad incumbent comparable given its HNW focus and RIA-style service offering.
• Focus Financial Partners: Public RIA aggregator that partners with independent wealth management firms including those offering comprehensive planning to HNW clients. Focus is a broad incumbent comparable because it has acquired firms with similar service profiles and target markets.
• Edelman Financial Engines: Large RIA offering comprehensive financial planning, investment management, and retirement plan services to individuals and companies. Edelman Financial is a broad incumbent with an overlapping comprehensive advisory offering.
• Creative Planning: Large national RIA providing comprehensive wealth management, retirement, tax, and estate planning to HNW individuals and families. Creative Planning is a broad incumbent with an overlapping comprehensive service model.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks6 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/company/jdl-securities-corp

Revenue estimate

Valuation estimate

Number of profiles

Profiles14 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about JDL Securities