Three Lakes Advisors, Inc.

Three Lakes Advisors, Inc. is a state-registered independent investment adviser that provides discretionary and non‑discretionary portfolio management primarily for individual clients — including high‑net‑worth individuals — and, occasionally, for small businesses, trusts, charitable organizations and estates. Services are provided under written advisory agreements and are tailored to each client’s stated financial situation, goals and risk tolerance.

The firm combines technical charting with fundamental analysis to select securities and implements a mix of long‑ and short‑term purchases and sales while generally avoiding margin, option writing and short sales. Accounts are monitored continuously and reviewed periodically, with transactions implemented either under granted discretionary authority or with client approval according to the advisory agreement.

Distinctive aspects include a very small client roster that represents almost all of the firm’s discretionary assets, resulting in relatively high assets managed per client compared with many peers, and a long operational history dating to 1996. The principal serves as an independent trustee of an exchange‑traded fund, and the firm maintains formal cybersecurity and breach‑response procedures — including a designated information‑security officer, third‑party vendor assessments, timely regulator/client notifications and offer of monitoring for affected clients.