LEE FINANCIAL COMPANY, LLC
CRD #105910 SEC #801-10722 DALLAS, TX 972-960-1001
SEC Registered Private Funds
Total AUM
$1.5B
Discretionary
$1.5B
Employees
39
Clients
251
Accounts
1,677
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 11, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | SHAREHOLDER/SENIOR PORTFOLIO MANAGER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| BOYCE, DANNY, RAY | I | SHAREHOLDER/SENIOR PORTFOLIO MANAGER | NA | |
| BOYCE, DANNY, RAY | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| GAMEZ STOLL, PATRICIA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LEE, RICHARD, ROCHESTER | I | CHAIRMAN, CEO & FOUNDER | NA | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MIRES, KIRSTEN, ELAINE | I | CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST | NA | |
| MIRES, KIRSTEN, ELAINE | I | CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST | NA | |
| MIRES, KIRSTEN, ELAINE | I | CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST | NA | |
| MIRES, KIRSTEN, ELAINE | I | CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST | NA | |
| MIRES, KIRSTEN, ELAINE | I | CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST | NA | |
| MIRES, KIRSTEN, ELAINE | I | CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST | NA | |
| MIRES, KIRSTEN, ELAINE | I | CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | SHAREHOLDER/INVESTMENT ANALYST | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| OGDEN, SHIRLEY, ANN | I | SHAREHOLDER/INVESTMENT ANALYST | NA | |
| OGDEN, SHIRLEY, ANN | I | INVESTMENT STRATEGIST/SHAREHOLDER | NA | |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | NA | Control |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF COMPLIANCE OFFICER /CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF COMPLIANCE OFFICER /CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF COMPLIANCE OFFICER /CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF COMPLIANCE OFFICER /CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | Control |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | Control |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | Control |
| RAMSEY, JEFFREY, ERIC | I | CHIEF OPERATIONS OFFICER | NA | Control |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/SENIOR FINANCIAL PLANNER | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/SENIOR FINANCIAL PLANNER | NA | |
| RODRIGUEZ, EDUARDO | I | SHAREHOLDER/CAPITAL STRATEGIST | NA | |
| RODRIGUEZ, EDWARD | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDWARD | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDWARD | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDWARD | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDWARD | I | SHAREHOLDER | NA | |
| RODRIGUEZ, EDWARD | I | SHAREHOLDER | NA | |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOLL, PATRICIA, GAMEZ | I | CHIEF COMPLIANCE OFFICER / OWNER | NA | Control |
| TOLER, JULIE, ENSLEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALLACE, DUSTY, DAWN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WHIDBY, MARK, WENDALL | I | CHIEF INVESTMENT OFFICER | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | DIRECTOR OF FINANCIAL PLANNING | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT | NA | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT | NA | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | PRESIDENT | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/INVESTMENT STRATEGIST | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LFC HOLDING CO. | DE | OWNER | E | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | D | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | D | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | D | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | D | Control |
| LEE, RICHARD, ROCHESTER | I | CEO/FOUNDER/ADVISOR | D | Control |
| LFC HOLDING CO. | DE | OWNER | D | Control |
| BOYCE, DANNY, RAY | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| BOYCE, DANNY, RAY | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| BOYCE, DANNY, RAY | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| BOYCE, DANNY, RAY | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| BOYCE, DANNY, RAY | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| BOYCE, DANNY, RAY | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| GIBSON, NICHOLAS, SHAWN | I | SENIOR FINANCIAL PLANNER / OWNER | B | |
| GIBSON, NICHOLAS, SHAWN | I | SENIOR FINANCIAL PLANNER / OWNER | B | |
| GIBSON, NICHOLAS, SHAWN | I | SENIOR FINANCIAL PLANNER / OWNER | B | |
| GIBSON, NICHOLAS, SHAWN | I | SENIOR FINANCIAL PLANNER / OWNER | B | |
| GIBSON, NICHOLAS, SHAWN | I | SENIOR FINANCIAL PLANNER / OWNER | B | |
| GIBSON, NICHOLAS, SHAWN | I | SENIOR FINANCIAL PLANNER / OWNER | B | |
| LFC HOLDING CO. | DE | OWNER | B | Control |
| LFC HOLDING CO. | DE | OWNER | B | Control |
| LFC HOLDING CO. | DE | OWNER | B | Control |
| LFC HOLDING CO. | DE | OWNER | B | Control |
| LFC HOLDING CO. | DE | OWNER | B | Control |
| LFC HOLDING CO. | DE | OWNER | B | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER / OWNER | B | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER / OWNER | B | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER / OWNER | B | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER / OWNER | B | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER / OWNER | B | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER / OWNER | B | Control |
| PETERS, DANIEL, SCOTT | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| PETERS, DANIEL, SCOTT | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| PETERS, DANIEL, SCOTT | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| PETERS, DANIEL, SCOTT | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| PETERS, DANIEL, SCOTT | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| PETERS, DANIEL, SCOTT | I | SENIOR PORTFOLIO MANAGER / OWNER | B | |
| PINGENOT, DANA, LYNN | I | VICE PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | VICE PRESIDENT/SECRETARY | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/CAPITAL STRATEGIST | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | B | Control |
| PINGENOT, DANA, LYNN | I | PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | SHAREHOLDER/CONSULTANT | B | |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/SENIOR PORTFOLIO MANAGER | B | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST | B | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT / OWNER | B | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT / OWNER | B | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT / OWNER | B | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT / OWNER | B | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT / OWNER | B | Control |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT / OWNER | B | Control |
| BOYCE, DANNY, RAY | I | SENIOR PORTFOLIO MANAGER / OWNER | A | |
| BOYLES, JAIME, NICHOLE | I | DIRECTOR OF FINANCIAL PLANNING / OWNER | A | |
| GIBSON, NICHOLAS, SHAWN | I | SENIOR FINANCIAL PLANNER / OWNER | A | |
| LEE FINANCIAL CORP | DE | COMPLIANCE OFFICER | A | Control |
| LEE FINANCIAL CORP | DE | COMPLIANCE OFFICER | A | Control |
| LUCKEY, WILLIAM, ALBERT | I | CHIEF FINANCIAL OFFICER / OWNER | A | Control |
| PETERS, DANIEL, SCOTT | I | SENIOR PORTFOLIO MANAGER / OWNER | A | |
| PINGENOT, DANA | I | SHAREHOLDER | A | |
| PINGENOT, DANA | I | SHAREHOLDER | A | |
| PINGENOT, DANA | I | SHAREHOLDER | A | |
| PINGENOT, DANA, LYNN | I | VICE PRESIDENT/SECRETARY | A | Control |
| PINGENOT, DANA, LYNN | I | VICE PRESIDENT/SECRETARY | A | Control |
| PINGENOT, DANA, LYNN | I | SHAREHOLDER | A | |
| PINGENOT, DANA, LYNN | I | SHAREHOLDER | A | |
| PINGENOT, DANA, LYNN | I | SHAREHOLDER | A | |
| QUINN, MARY TERESA | DE | CHIEF COMPLIANCE OFFICER | A | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER | A | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER | A | Control |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/SECRETARY | A | |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/SECRETARY | A | |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/SECRETARY | A | |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/SECRETARY | A | |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/SECRETARY | A | |
| QUINN, MARY, TERESA | I | VICE PRESIDENT/SECRETARY | A | |
| SHAE, BENJAMIN, SCOTT | I | DIRECTOR OF OPERATIONS AND CLIENT SERVICES / OWNER | A | |
| WILLIAMS, CHRISTINA, SUSANNE | I | PRESIDENT / OWNER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | F | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | F | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | F | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | F | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | E | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | E | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | E | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | E | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | E | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | E | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
| LEE, RICHARD, ROCHESTER | DE | LFC HOLDING CO. | D | Control |
Registrations
Federal
IA
Jul 11, 2025 REGISTERED
Notice Filings (11)
CA CO FL ID LA NE NY OK OR TX WA
Address
8350 N. CENTRAL EXPRESSWAYSUITE 1800
DALLAS, TX 75206
United States
Phone: 972-960-1001