Lesa Sroufe & Company, Inc.
- Regulatory AUM
- $207M
- Discretionary
- $199M
- Clients
- 238
- Avg AUM / client
- $871K
- Accounts
- 238
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 26, 2026
Investments (13F portfolio — 68 positions, $146,898)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Microsoft Corp Com | COM | $9,182 | 24,804 | 6.25% | 0.0% |
| 2 | Newmont Corp Com | COM | $8,819 | 81,467 | 6.0% | 0.0% |
| 3 | Anglogold Ashanti Plc Com Shs | COM | $8,246 | 84,691 | 5.61% | 0.0% |
| 4 | Pan Amern Silver Corp Com | COM | $7,943 | 145,389 | 5.41% | 0.0% |
| 5 | Ishares Silver Trust Etf | ETF | $6,589 | 96,703 | 4.49% | 0.0% |
| 6 | Petroleo Brasileiro S A Sponsored Adr | ADR | $5,979 | 288,150 | 4.07% | 0.0% |
| 7 | M & T Bank Corp | COM | $5,349 | 25,874 | 3.64% | 0.0% |
| 8 | Alcoa Corp Com | COM | $5,151 | 77,650 | 3.51% | 0.0% |
| 9 | Grupo Cibest Sa Fsponsored Adr 1 Adr Reps 4 Ord Shs | ADR | $4,851 | 66,628 | 3.3% | 0.0% |
| 10 | Hecla Mining Company Com | COM | $4,633 | 248,692 | 3.15% | 0.0% |
| 11 | Range Res Corp Com | COM | $4,550 | 100,708 | 3.1% | 0.0% |
| 12 | Cemex Sa Euro Mtn Be 144 A Spon Adr New | ADR | $4,355 | 380,698 | 2.96% | 0.0% |
| 13 | Totalenergies F | COM | $4,353 | 47,819 | 2.96% | 0.0% |
| 14 | International Seaways Inc Com | COM | $4,350 | 59,688 | 2.96% | 0.0% |
| 15 | Nutrien Ltd Com | COM | $3,924 | 52,002 | 2.67% | 0.0% |
| 16 | Bunge Global Sa Com Shs | COM | $3,779 | 29,706 | 2.57% | 0.0% |
| 17 | Telefonica Brasil S. F Sponsored Adr 1 Adr | ADR | $3,648 | 229,279 | 2.48% | 0.0% |
| 18 | Proshares Short Qqq Etf | ETF | $3,500 | 108,715 | 2.38% | 0.0% |
| 19 | Black Hills Corp Com | COM | $3,251 | 46,831 | 2.21% | 0.0% |
| 20 | Alaska Air Group Inc | COM | $3,098 | 84,233 | 2.11% | 0.0% |
| 21 | Innovex International Inc Com | COM | $2,995 | 122,788 | 2.04% | 0.0% |
| 22 | Amgen Inc Com | COM | $2,987 | 8,490 | 2.03% | 0.0% |
| 23 | Tutor Perini Corp Com | COM | $2,917 | 37,787 | 1.99% | 0.0% |
| 24 | Fluor Corp Com | COM | $2,900 | 62,166 | 1.97% | 0.0% |
| 25 | Hawaiian Elec Inds Inc Mtn Be Com | COM | $2,879 | 193,981 | 1.96% | 0.0% |
Top 25 of 68 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 17 | $3.3M | 1.61% |
| High net worth individuals | 221 | $204M | 98.4% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lesa Anne Sroufe | President, Managing Director, Chief Financial Officer | CFA | Jan 2004 (23y) | 75% or more |
| Shaun Elizabeth Corry | Chief Compliance Officer | May 2006 (20y) | 5% – 10% | |
| Brett Anderson | Registered representative | CFA | Mar 2022 (4y) |
Undisclosed: 0% – 20% 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) | 03/26/2026 | 898 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗