Wealth manager, independent · Dallas, TX
LEE Financial Company, LLC
SEC-registered investment adviser · CRD 105910 · SEC 801-10722
At a glance
LEE Financial Company, LLC is an SEC-registered investment adviser based in Dallas, Texas, with $1.7B in regulatory assets under management as of its Form ADV filed July 31, 2026. It reports 428 individual clients, 220 of them high-net-worth, holding an average of about $3.8 million each, and 39 employees. That ranks it 647th among the nation’s 5,657 independent wealth management RIAs and 43rd of 367 in Texas. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Main office 972-960-1001leefin.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.7B
- Rank among independent wealth managers
- #647 of 5,657
- Rank among all SEC RIAs
- #3,994 of 17,210
- Rank in Texas
- #43 of 367
- Individual clients
- 428
- High-net-worth clients
- 220
- Accounts
- 1,745
- Discretionary
- 98% of AUM
- Employees
- 39
- Advisory staff
- 22
- Offices
- 1
Owners and executives on its Form ADV
- Richard R. LeeChairman, CEO & Founder
- Christina S. WilliamsPresident
- Patricia G. StollChief Compliance Officer
- William A. LuckeyChief Financial Officer
- Daniel S. PetersSenior Portfolio Manager / Owner
- Danny R. BoyceSenior Portfolio Manager / Owner
- Nicholas S. GibsonSenior Financial Planner / Owner
- Benjamin S. ShaeDirector of Operations and Client Services / Owner
- Jaime N. BoylesDirector of Financial Planning / Owner
Custody and brokerage
Broker-dealer
No broker-dealer ties
LEE Financial Company, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 220 | $1.5B | 88% |
| Individuals | 208 | $158M | 9% |
| Pension and profit sharing plans | 11 | $30M | 2% |
| Pooled investment vehicles | 4 | $15M | <1% |
| Charitable organizations | – | $6M | <1% |
Private funds
LEE Financial Company, LLC reports 4 private funds with $14M in gross assets: hedge funds, private equity funds, real estate funds (Form ADV Item 7.B).
Disciplinary disclosures
LEE Financial Company, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗leefin.com ↗
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Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- 9 namedLocked
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Similar-size RIAs in Texas
All of Texas →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Financial SynergiesHouston | $1.8B | 927 |
| GDS Wealth ManagementFlower Mound | $1.8B | 1,078 |
| Meridian Wealth Advisors, LLCAustin | $1.7B | 328 |
| Tanglewood Total Wealth Management, Inc.Houston | $1.6B | 417 |
| Astra Wealth Management GroupPlano | $1.6B | 964 |
| PER Stirling Capital Management, LLCAustin | $1.6B | 1,074 |
Background
Questions
How much does LEE Financial Company, LLC manage?
LEE Financial Company, LLC reports $1.7B in regulatory assets under management across 1,745 accounts, 98% of it on a discretionary basis, on its Form ADV filed July 31, 2026.
How many clients does LEE Financial Company, LLC have?
It reports 428 individual clients: 220 high-net-worth individuals and 208 other individuals. Individuals account for about 97% of its regulatory assets.
Where is LEE Financial Company, LLC headquartered?
Its main office is in Dallas, Texas. It reports 1 office in total and 39 employees, 22 of whom perform investment advisory functions.
How does LEE Financial Company, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does LEE Financial Company, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed July 31, 2026, it reports these amounts held: Charles Schwab ($889M); Fidelity ($757M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is LEE Financial Company, LLC a hybrid RIA with a broker-dealer?
LEE Financial Company, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is LEE Financial Company, LLC a fiduciary?
As an SEC-registered investment adviser, LEE Financial Company, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is LEE Financial Company, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →