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Chief Compliance Officer · Catawba River Capital

Derek M. Lewis

CRD 5701113 · Named on Form ADV at one SEC-registered adviser

At a glance

Catawba River Capital, an SEC-registered wealth manager based in Lake Wylie, SC with $325 million in regulatory assets, lists Derek M. Lewis on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

  • Catawba River CapitalChief Compliance OfficerWealth manager · Lake Wylie, SC · $325M in regulatory assets

AtlasMembers

Derek’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Derek’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.