Ostrofe Financial Consultants Inc
- Regulatory AUM
- $386M
- Discretionary
- $386M
- Clients
- 568
- Avg AUM / client
- $680K
- Accounts
- 1,625
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 414 | $108M | 27.8% |
| High net worth individuals | 143 | $256M | 66.2% |
| Pension and profit sharing plans | 11 | $23.1M | 5.99% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lum, Patricia, Anne | Chief Compliance Officer | Jan 2000 (27y) | Less than 5% | |
| Seth Tyler Leishman | President | CFP | Jul 2018 (8y) | 75% or more |
| Frederick Ayer Fisher | Registered representative | CFP | Apr 2018 (8y) | |
| Nathan Thomas Leishman | Registered representative | CFA | Jun 2018 (8y) |
Undisclosed: 0% – 25% 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/03/2026 | 908 KB | 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Pershing $15.9M (4% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Feb 03, 2026.
View current Form ADV (SEC/IAPD) ↗