Data / Investment advisers / Washington / Lesa Sroufe & Company, Inc.
Lesa Sroufe & Company, Inc., Seattle, WA: $207 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Lesa Sroufe & Company, Inc. is an SEC registered investment adviser with its main office in Seattle, Washington and reports $207 million in regulatory assets under management in its Form ADV filed March 26, 2026. Its clients include high net worth individuals and individuals. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Lesa Sroufe & Company, Inc. (CRD number 130232): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 130232
- SEC file number
- 801-63880
- SEC status
- Approved, effective January 3, 2005
- Main office
- 801 Second Ave Suite 304, Seattle, WA 98104
- Phone
- (206) 838-8383
- Website
- sroufeco.com
- Regulatory AUM
- $207,338,726 in the Form ADV filed March 26, 2026
- Discretionary AUM
- $199,078,961
- Non discretionary AUM
- $8,259,765
- Accounts
- 238
- Employees
- 4, of which 3 give investment advice
- Form of organization
- S-Corp
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 26, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 221 | $204 million |
| Individuals (other than high net worth individuals) | 17 | $3.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $207.3 million | March 26, 2026 |
| December 1, 2025 | $158.6 million | March 31, 2025 |
Other advisers in Seattle
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Fairview Partners Investment Management LLC | Seattle | $256 million | 10 | adviserinfo.sec.gov |
| Mangan Wealth Management | Seattle | $222 million | Not listed | adviserinfo.sec.gov |
| Archon Capital Management LLC | Seattle | $214.6 million | 4 | adviserinfo.sec.gov |
| Sander Capital Advisors, Inc. | Seattle | $210 million | Not listed | adviserinfo.sec.gov |
| Runde & Co. LLC | Seattle | $209.5 million | Not listed | adviserinfo.sec.gov |
| Global Partnerships | Seattle | $197.3 million | 5 | adviserinfo.sec.gov |
| Pathmont Investment Management | Seattle | $169.7 million | Not listed | adviserinfo.sec.gov |
| Newground Social Investment | Seattle | $161.1 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Seattle, WA
- Investment advisers in Washington
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Lesa Sroufe & Company, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.