Overview
A. Slayton Lewis, Inc.
Slayton Lewis, Inc. ("Slayton Lewis" and/or “the firm”) is a corporation organized in the state of
Utah. The firm also has a principal office in Chicago, Illinois. The firm is principally owned by
William Campbell and has been offering investment advisory services since 2000.
B. Advisory Services Offered
B.1 Asset Management Services
Investment management services include a current assessment of each client's investable assets,
a determination of the client's investment goals, and a determination of the client's investment
risk tolerance. Slayton Lewis will present each client with an asset allocation model that is most
closely aligned with the client's goals for the desired time frame, taking into consideration the
client's tolerance for risk. Slayton Lewis will then implement the investment plan by making the
appropriate investment choices and monitoring the portfolio on an ongoing basis. Many times
clients will wish to retain legacy positions that they hold in their portfolio or wish not to hold
certain types of securities. Slayton Lewis can consider these preferences when formulating an
appropriate investment portfolio.
In addition to providing Slayton Lewis with information regarding their personal and financial
circumstances, investment objectives and tolerance for risk, clients are required to provide the
firm with any reasonable investment restrictions that should be imposed on the management of
their portfolio, and to promptly notify the firm of any changes in such restrictions or in the
client's personal financial circumstances, investment objectives, goals and tolerance for risk.
Slayton Lewis will remind clients of their obligation to inform the firm of any such changes or
any restrictions that should be imposed on the management of the client's account. Slayton
Lewis will also contact clients at least annually to determine whether there have been any
changes in a client's personal financial circumstances, investment objectives and tolerance for
risk.
B.2. Financial Planning Services
If so desired, Slayton Lewis will provide financial planning services to its clients, which may
include a review of a client's cash flow, risk management, tax matters, retirement planning along
with estate and philanthropic planning. Slayton Lewis may provide a detailed plan along with
appropriate strategies to increase
a client's effectiveness in those given areas. This service may
be included at no additional cost to the client, depending upon the amount of the client's
investable assets.
B.3. Pension Consulting Services
Slayton Lewis offers retirement plan services through its affiliate SL Pension. In that capacity, SL
Pension acts as a 3 (38) fiduciary to provide investment advice to the company owners and the
plan participants by selecting appropriate investment choices for the plan. In addition,
participants may select one of four different investment strategies managed by Slayton Lewis
based upon their investment goals. These strategies are portfolios constructed by using an
allocation of the funds available in the plan based upon various risk levels.
Slayton Lewis has discretion to modify these allocations from time to time based upon market
and economic conditions as well as add or remove funds to or from the plan. The participant is
under no obligation to use any of the managed strategies and can construct a portfolio using
the fund choices in the plan. In addition, participants may set up a self-directed account with the
custodian in which case their investment choices are significant. There is no additional charge
for using the managed strategies and there is a small charge for setting up a self-directed
account.
B.4 Tax Preparation Services
For an additional charge, Slayton Lewis may provide tax preparation services for individuals,
partnerships, corporations, and trusts to provide better continuity between the implemented tax
strategies provided to the client and the actual tax preparation. Slayton Lewis employs a
qualified Certified Public Accountant to provide these services.
C. Client-Tailored Services and Client-Imposed Restrictions
Each client's account will be managed on the basis of the client's financial situation and
investment objectives and in accordance with any reasonable restrictions imposed by the client
on the management of the account-for example, restricting the type or amount of security to be
purchased in the portfolio.
D. Wrap Fee Programs
Slayton Lewis does not participate in wrap fee programs. (Wrap fee programs offer services for
one all-inclusive fee.)
E. Client Assets Under Management
As of March 27, 2024, Slayton Lewis manages $266,731,740.50 of discretionary and non
discretionary assets.