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Lesa Sroufe & Company, Inc.

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Client assets under management

$207,338,726

Clients

238

93% high-net worth

Advisors

3

of 4 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

More info

Clients per advisor

79

High

Average account size

$871,171

About

Lesa Sroufe & Company is an SEC-registered investment adviser that manages individual and institutional accounts, serving high net worth and non‑HNW individual clients as well as tax‑exempt entities and plans. The firm offers individualized portfolio management using publicly traded equities, fixed income and exchange‑traded funds, and also acts as a sub‑adviser for wrap fee accounts.

The firm follows a research‑driven, value‑oriented equity approach with a top‑down economic outlook, maintaining focused portfolios of roughly 25–35 stocks and the ability to hold up to 50% cash. Portfolios are managed with explicit buy/sell price discipline, low turnover, and separate Equity Appreciation and Total Return objectives tailored to client risk profiles and asset allocation targets.

Distinctive features in the brochure include operation of wrap/sub‑advised programs with LSC providing trading, accounting and performance reporting for those accounts, and regular client communications — individual quarterly statements plus a quarterly investment letter summarizing model performance and market outlook. The firm is employee‑owned, provides special project research (for concentrated positions and options strategies), and negotiates fees on a client‑by‑client basis.

Client services

Financial planning Portfolio management Newsletters or periodicals

Expertise

Concentrated stock management Options & derivatives strategies Active portfolio management

Fee options

Fixed

Special projects or research services may be offered on a fixed-fee basis depending on scope and complexity.

Percentage

Under $5 million - $5 million: 0.80% (80 basis points) - Equity Appreciation Objective $5 million - $20 million: 0.65% (65 basis points) - Equity Appreciation Objective $20 million+: 0.45% (45 basis points) - Equity Appreciation Objective Under $1 million - $1 million: 0.80% (80 basis points) - Total Return Objective $1 million - $3 million: 0.75% (75 basis points) - Total Return Objective $3 million - $5 million: 0.70% (70 basis points) - Total Return Objective $5 million+: 0.65% (65 basis points) - Total Return Objective Under $10 million - $10 million: 0.50% (50 basis points) - Wrap Account $10 million+: 0.30% (30 basis points) - Wrap Account Under $15 million - $15 million: 0.50% (50 basis points) - Institutional Equity-only Accounts

Commissions

Transaction fees/commissions charged by executing broker or account custodian in addition to advisory fees.

Other

Account minimum: $500,000 (negotiable) for directly managed accounts; $100,000 for sub-advised accounts

Main office location

Lesa Sroufe & Company, Inc.

801 Second Ave, Suite 304

Seattle WA 98104, United States

Number of offices

1

Most active in

More info

Alaska · California · Florida · Idaho · New York · Oregon · Washington

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Website 206-838-8383

Advisors at this firm

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user avatar

Shaun C

Series 65

Seattle, WA

Lesa Sroufe & Company, Inc.

Shaun Corry is a Series 65-licensed financial advisor with 18 years of industry experience. He has been with Lesa Sroufe & Company, Inc. since 2006. The firm provides portfolio management and investment research services to individuals, corporate pension and profit-sharing plans, charitable institutions, foundations, and trusts. Lesa Sroufe & Company employs a research-driven, value-oriented investment approach with focused portfolios typically diversified across 25–35 stocks, offering both discretionary and sub-advised wrap accounts along with special-project research on equity matters.

Concentrated stock management Options & derivatives strategies Active portfolio management
user avatar

Brett A

CFA®

Seattle, WA

Lesa Sroufe & Company, Inc.

Brett Anderson is a CFA® charterholder based in Seattle, WA, with four years of industry experience. He has worked at Lesa Sroufe & Company, Inc. since 2021, following prior roles at Aristotle Capital Management and Rimrock Capital Management. Lesa Sroufe & Company, Inc. provides portfolio management and investment research to individuals, corporate pension plans, and charitable institutions. The firm employs a research-driven, value-oriented investment approach with focused, diversified portfolios and offers sub-advisory services alongside direct account management.

Concentrated stock management Options & derivatives strategies Active portfolio management
user avatar

Lesa S

CFA®, Series 63

Seattle, WA

Lesa Sroufe & Company, Inc.

Lesa Sroufe is a CFA® charterholder with 22 years of industry experience. She is the principal of Lesa Sroufe & Company, Inc., a Seattle-based firm she has led since 2004. Lesa holds a Series 63 license and manages a small team of three advisors. Lesa Sroufe & Company, Inc. provides portfolio management and investment research to individuals, corporate pension and profit-sharing plans, charitable institutions, foundations, and trusts. The firm employs a research-driven, value-oriented investment approach with focused portfolios typically diversified across 25–35 stocks and may hold up to 50% cash at management discretion. It also acts as a sub-adviser and wrap program sponsor, offering trading, accounting, and performance reporting services in addition to direct portfolio management.

Concentrated stock management Options & derivatives strategies Active portfolio management
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