Lee Financial Company, LLC

RIASEC Registered
Total AUM
$1.7B
Discretionary
$1.7B
98% of AUM
Avg account
$964K
Accounts
1,745
Employees
39
Advisory reps
32

Firm details

Headquarters
Dallas, Texas
CRD number
105910
Registered since
April 26, 1975
Website
www.leefin.com
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI87.52%
  • Individuals9.42%
  • Pension & Profit Sharing Plans1.79%
  • Pooled Investment Vehicles0.9%
  • Charitable Organizations0.37%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Lee Financial Company, LLC is an independent registered investment adviser operating as an LLC. The firm is SEC-registered (registered in 1975) and positions itself as a capital allocator for both individuals/families and institutional clients. Its advisory services cover financial planning, discretionary portfolio management for individuals, small businesses, pooled investment vehicles and institutions, and the selection of third‑party advisers. Fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee options. The firm has been recognized in industry lists, appearing in CNBC’s Top 100 Financial Advisory Firms (2019, 2020, 2021, 2025) and on FA Magazine’s Top RIA Firms list in 2020.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 51%, Exchange Traded Equities 23%, Private Funds 11%, Cash & Cash Equivalents 6%, Other 4%, State & Local Bonds 3%, US Government Bonds 1%51%
  • Public Funds/Mutual Funds51%
  • Exchange Traded Equities23%
  • Private Funds11%
  • Cash & Cash Equivalents6%
  • Other4%

Owners & executives

3 of 6
  • Richard Lee

    Richard Lee

    Founder & CEOCRD 305422

  • William Luckey

    William Luckey

    Chief Financial OfficerCRD 1401710

  • Patricia Stoll

    Patricia Stoll

    Chief Compliance Officer & PartnerCRD 6461851

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Contacts

3 of 26
  • Sarah Henze

    Sarah Henze

    Senior Portfolio ManagerCRD 5752072

  • Eric Smith

    Eric Smith

    Senior AnalystCRD 5246664

  • Benjamin Shae

    Benjamin Shae

    Director of OperationsCRD 5333646

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 71

Active vs passive

$682M in ETFs

Passive

91%

$617M

Active

9%

$64.1M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$208M270,95730.45%
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Location

Primary office

Dallas, TX

Dallas

Location

Dallas, TX

Headquartered in Dallas, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.

Metro area
Dallas-Fort Worth, TX-OK
Region
South
County
Dallas
Address
8350 N Central Expy
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth