Mia Lee Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$270,000
Total clients
20
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
20
Average account size
$13,500
About
The firm provides ongoing portfolio management to individual and high‑net‑worth clients, developing an Investment Policy Statement for each client and focusing primarily on equities, fixed income, and ETFs. As a single‑advisor independent practice, it offers the standard suite of client services typical for similar firms, including both discretionary and non‑discretionary account management.
Its investment work combines fundamental analysis, modern portfolio theory, and quantitative methods and is implemented with a long‑term trading approach; the firm documents clients’ risk tolerances and time horizons in the Investment Policy Statement and typically seeks discretionary authority to execute transactions. The brochure emphasizes regular portfolio monitoring and periodic reviews at least quarterly, with reporting provided to clients via their custodian.
Distinctive features include an affiliation with an accounting practice: the firm’s supervising professional is also an accountant and may offer accounting services to clients, a relationship the brochure discloses as a potential conflict while noting the accounting professional does not have signatory authority over client accounts. The firm also requires clients to use a specific custodian and does not aggregate trades for multiple clients, operational details that may affect execution and are less common among peers.
Client services
Portfolio management
Expertise
Wealth management
Passive / index investing
Active portfolio management
Fee options
$0 - $50,000: 0.65% $50,001 - $200,000: 0.60% $200,001+: 0.50%
Main office location
Mia Lee Financial
418 Broadway, Ste N
Albany NY 12207, United States
Number of offices
1
Most active in
Mia Lee Financial has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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