Richard C Tolway
Investment Adviser Representative at Lumiere Financial
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard C. Tolway is an investment adviser representative with Lumiere Financial in New York, NY, where they have been registered since 2022, the year they entered the securities industry. They have passed 2 industry qualification exams, including the Series 65 (investment adviser). They are registered to provide investment advice in New Jersey and New York.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New Jersey, New York
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Lumiere Financial
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Estimated blended rate
- 0.013
- $0 - $1,000,0001.30%
- $1,000,001 - $3,000,0001.00%
- $3,000,001 - $5,000,0000.90%
- $5,000,001 - $10,000,0000.80%
+1 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
Under $100M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 5
- Offices listed on AdvisorFinder:
- 1
- Main office:
- New York, NY
- SEC file number:
- 801-123638
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of April 20, 2026
View full firm profileOther advisors at Lumiere Financial
4 other advisors in the directory
Similar advisors in New York, NY
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard C Tolway has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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