# Lesa Sroufe & Company, Inc.

> Lesa Sroufe & Company, Inc. is an SEC-registered investment advisory firm in Seattle, WA, registered since 2005, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.

- CRD: 130232
- Filed as: LESA SROUFE & COMPANY, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Seattle, WA
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/130232
- AdvisorCensus page: https://advisorcensus.com/firm/lesa-sroufe-and-company-inc-seattle-wa-130232

## Quick answers

**How is Lesa Sroufe & Company, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Lesa Sroufe & Company, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Lesa Sroufe & Company, Inc. located?**
Lesa Sroufe & Company, Inc.'s principal office is in Seattle, WA, according to its Form ADV.

**Is Lesa Sroufe & Company, Inc. registered with the SEC or a state?**
Lesa Sroufe & Company, Inc. is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 130232.

**How much does Lesa Sroufe & Company, Inc. manage?**
Lesa Sroufe & Company, Inc. reports $207,338,726 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (96% discretionary).

**How have Lesa Sroufe & Company, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Lesa Sroufe & Company, Inc.: Regulatory assets under management: $152,161,481 in the October 2021 data and $207,338,726 in the October 2026 data, up 36%. Total employees: 5 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Lesa Sroufe & Company, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (221); individuals (other than high net worth individuals) (17).

**Does Lesa Sroufe & Company, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/130232

**What changed in Lesa Sroufe & Company, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $158,570,363 to $207,338,726 (+31%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $207,338,726
- Discretionary: $199,078,961
- Non-discretionary: $8,259,765

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 17 | $3,333,599 |
| High net worth individuals | 221 | $204,005,127 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Publication of periodicals or newsletters

### Firm details
- Registered since: 2005 (21 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, CA, FL, ID, NY, OR, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sroufeco.com
- LinkedIn @lesa-sroufe-&-company

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $152,161,481 | 5 | March 26, 2021 |
| October 2022 | $175,951,831 | 4 | March 31, 2022 |
| October 2023 | $161,471,731 | 4 | March 30, 2023 |
| October 2024 | $172,777,960 | 4 | March 26, 2024 |
| October 2025 | $158,570,363 | 4 | March 31, 2025 |
| October 2026 | $207,338,726 | 4 | March 26, 2026 |

Regulatory assets under management: $152,161,481 in the October 2021 data and $207,338,726 in the October 2026 data, up 36%.
Total employees: 5 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $158,570,363 to $207,338,726 (+31%).

### January 2026
- No longer registered or notice-filed in AZ, IL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Lesa Sroufe & Company, Inc. (CRD 130232): Form ADV filing data as of October 2026.