Lee Financial Company, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 105910
· SEC file 801-10722
· Dallas, TX
· www.linkedin.com
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ADV data as of Jul 31, 2026
- Regulatory AUM
- $1.7B
- Discretionary
- $1.7B
- Clients
- 443
- Avg AUM / client
- $3.8M
- Accounts
- 1,745
- Employees
- 39
AUM over time
$897M
$1.7B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 208 | $158M | 9.42% |
| High net worth individuals | 220 | $1.5B | 87.5% |
| Pooled investment vehicles (non-investment companies) | 4 | $15.2M | 0.9% |
| Pension and profit sharing plans | 11 | $30.1M | 1.79% |
| Charitable organizations | Fewer than 5 clients | $6.2M | 0.37% |
Private funds (12)
Reported in Form ADV Section 7.B.(1), filing of Apr 2024 · $13.7M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Lfc Equity Plus Tail Protection Fund, Llc. | Hedge Fund | Texas | $12.4M | 15 |
| Lfc Matrix Resources | Private Equity Fund | Texas | $279K | 29 |
| Lfc Borders Ltd | Real Estate Fund | Texas | $223K | 91 |
| Lfc Novus Ltd | Private Equity Fund | Texas | $205K | 35 |
| Lfc Stanford Ltd | Real Estate Fund | Texas | $170K | 119 |
| Lfc Horizon | Real Estate Fund | Texas | $170K | 74 |
| Lfc Province Ltd | Real Estate Fund | Texas | $130K | 58 |
| Lfc Terra Ltd | Real Estate Fund | Texas | $43.8K | 86 |
| Lfc Island Partners Ltd | Real Estate Fund | Texas | $29.6K | 33 |
| Lfc Energy Resources Ltd | Private Equity Fund | Texas | $25.6K | 123 |
| Lfc Summit Resources Ltd | Private Equity Fund | Texas | $18.7K | 43 |
| Lfc Energy Royalty Ltd | Private Equity Fund | Texas | $15.2K | 9 |
People (31)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Richard Rochester Lee | Chairman, Ceo & Founder | CFP CFA | Jan 1988 (39y) | Less than 5% |
| Danny Ray Boyce | Senior Portfolio Manager / Owner | CFP CFA | Feb 2000 (26y) | 10% – 25% |
| Christina Susanne Williams | President / Owner | CFP | May 2004 (22y) | 10% – 25% |
| Nicholas Shawn Gibson | Senior Financial Planner / Owner | CFP | Oct 2004 (22y) | 10% – 25% |
| William Albert Luckey | Chief Financial Officer / Owner | May 2007 (19y) | 10% – 25% | |
| Daniel Scott Peters | Senior Portfolio Manager / Owner | Jul 2009 (17y) | 10% – 25% | |
| Stoll, Patricia, Gamez | Chief Compliance Officer | Oct 2019 (7y) | Less than 5% | |
| Shirley Ann Ogden | Registered representative | CFA | May 2000 (26y) | |
| Jaime Nichole Boyles | Registered representative | CFP | Apr 2002 (24y) | |
| Jennifer Ann Armstrong | Registered representative | CFP | Apr 2002 (24y) | |
| Ronald Douglas Jones | Registered representative | CFA | Aug 2006 (20y) | |
| Justin Bradford Luddeke | Registered representative | CFP | Dec 2008 (18y) | |
| Sarah Henze | Registered representative | CFP | Jan 2010 (17y) | |
| Benjamin Scott Shae | Registered representative | CFP | Oct 2010 (16y) | |
| Jason Allen Romph | Registered representative | Jul 2011 (15y) | ||
| Eric Mathews Smith | Registered representative | Nov 2012 (14y) | ||
| Trey Elden Waite | Registered representative | CFP | Jan 2020 (7y) | |
| Jaryn Rose Quick | Registered representative | CFP | Feb 2020 (6y) | |
| Michele Yvette Bergeron | Registered representative | CFP | Mar 2020 (6y) | |
| Alexander Man Seung Nickerson | Registered representative | CFP | Mar 2021 (5y) | |
| Adrienne Denae Anthony | Registered representative | CFP | Jun 2022 (4y) | |
| Richard Alan Drew | Registered representative | CFA | Aug 2022 (4y) | |
| Marco Andres Rodriguez | Registered representative | CFA | Sep 2022 (4y) | |
| Daniel Robert Mauck | Registered representative | CFP | Dec 2022 (4y) | |
| Jacob Chandler Odom | Registered representative | Jun 2023 (3y) | ||
| Barbara Burris | Registered representative | May 2024 (2y) | ||
| Shayla Cobb | Registered representative | Jun 2024 (2y) | ||
| Ryan Coxe | Registered representative | Jun 2024 (2y) | ||
| Sarah Michele Beattie | Registered representative | Aug 2024 (2y) | ||
| Dana Packett | Registered representative | Jan 2025 (2y) | ||
| Matthew Paul Den Bleyker | Registered representative | Jun 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Lfc Holding Co. | Owner | Mar 2016 | A | 10% – 25% |
| Lee, Richard, Rochester | Active | Mar 2016 | B | GP / trustee / elected manager of Lfc Holding Co. (indirect) |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (12, $13.7M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Lfc Equity Plus Tail Protection Fund, Llc. | Hedge Fund | $12.4M | $100K | 15 |
| Lfc Matrix Resources | Private Equity Fund | $279K | $50.0K | 29 |
| Lfc Borders Ltd | Real Estate Fund | $223K | $50.0K | 91 |
| Lfc Novus Ltd | Private Equity Fund | $205K | $50.0K | 35 |
| Lfc Stanford Ltd | Real Estate Fund | $170K | $50.0K | 119 |
| Lfc Horizon | Real Estate Fund | $170K | $50.0K | 74 |
| Lfc Province Ltd | Real Estate Fund | $130K | $50.0K | 58 |
| Lfc Terra Ltd | Real Estate Fund | $43.8K | $25.0K | 86 |
| Lfc Island Partners Ltd | Real Estate Fund | $29.6K | $50.0K | 33 |
| Lfc Energy Resources Ltd | Private Equity Fund | $25.6K | $50.0K | 123 |
| Lfc Summit Resources Ltd | Private Equity Fund | $18.7K | $50.0K | 43 |
| Lfc Energy Royalty Ltd | Private Equity Fund | $15.2K | $50.0K | 9 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.69 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $889M (53% of AUM) Mar 2026
- Fidelity Brokerage Services $757M (45% of AUM) Mar 2026
- National Advisors Trust Company $123M (10% of AUM) Mar 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗