LAU ASSOCIATES LLC

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LAU Associates is based out of Greenville. LAU Associates is a large advisory firm with 161 clients and discretionary assets under management (AUM) of $650,000,000 (Form ADV from 2018-12-01). Whalewisdom has at least 69 13F filings

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03/31/2020

Top Buys

  • Name% Change

03/31/2020

Top Sells

  • Name% Change

03/31/2020

13F Holdings Summary

No holdings for current quarter

03/31/2020

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $200.851 Million
  • Prior Market Value $189.005 Million
  • New Purchases3 stocks
  • Additional Purchases6 stocks
  • Sold out of5 stocks
  • Reduced holdings in35 stocks
  • Top 10 Holdings % 53.57 %
  • Turnover % [1]:8.51%
  • Turnover Alt % [2]: 2.28 %
  • Time Held Top20:25.65 quarters
  • Time Held Top10:23.90 quarters
  • Time Held All:22.23 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-02-14

Performance for Q4 2019: 1.56%
Performance Last 4 Quarters: 24.03%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

LAU ASSOCIATES LLC
20 MONTCHANIN ROAD SUITE 110
GREENVILLE DE    19807
Country: United States

Business Phone: 302-792-5955
Fax: 302-792-1833
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 11
Other Business Activities:
Advisor Fees/Compensation: Fixed fees
Amount of client funds and securities: 315,400,000
Total Number of Clients: 161
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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LAU ASSOCIATES LLC

ownership team - last updated 2019-10-29
Name Title Start Date Direct/Indirect % Ownership
BRYN MAWR BANK CORPORATION SOLE MEMBER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC SOLE MEMBER OF JNJ HOLDINGS LLC indirect 2008-07-01
LAU ASSOCIATES LLC SOLE MEMBER direct 2008-07-01
PERRY CREEK CAPITAL LP SHAREHOLDER indirect 2008-08-01
BMT INVESTMENT ADVISERS SHAREHOLDER direct 2017-05-01
PETERSON, LUCINDA, LEA CHIEF FINANCIAL OFFICER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC TREASURER AND MANAGER direct 2008-11-01
LAU ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2008-11-01
WELLMAN, STEPHEN, MICHAEL CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LIBERTY RIDGE CAPITAL, INC. DIRECTOR, PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 1995-04-01
ECHO POINT INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2010-09-01
BMT INVESTMENT ADVISERS CHIEF COMPLIANCE OFFICER/TRUSTEE direct 2017-05-01
PILGRIM BAXTER VALUE INVESTORS INC SENIOR VICE PRESIDENT direct 1998-01-01 2001-01-29
PILGRIM BAXTER & ASSOCIATES LTD SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE COMMITTEE MEMBER direct 1995-04-01 2001-08-14
PILGRIM BAXTER & ASSOCIATES LTD SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 1995-04-01 2004-11-22
LIBERTY RIDGE CAPITAL, INC. SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER AND OPERATING COMMITTEE MEMBER direct 1995-04-01 2005-05-24
LIBERTY RIDGE CAPITAL, INC. PRESIDENT, CHIEF ADMINISTRATIVE OFFICER AND OPERATING COMMITTEE MEMBER direct 1995-04-01 2005-11-17
LIBERTY RIDGE CAPITAL, INC. PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 1995-04-01 2007-03-28
DUNDEEWEALTH US, LP CHIEF COMPLIANCE OFFICER direct 2010-03-01 2010-04-01
WELLMAN, STEPHEN, MICHAEL PRESIDENT 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LIBERTY RIDGE CAPITAL, INC. DIRECTOR, PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 1995-04-01
ECHO POINT INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2010-09-01
BMT INVESTMENT ADVISERS CHIEF COMPLIANCE OFFICER/TRUSTEE direct 2017-05-01
PILGRIM BAXTER VALUE INVESTORS INC SENIOR VICE PRESIDENT direct 1998-01-01 2001-01-29
PILGRIM BAXTER & ASSOCIATES LTD SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE COMMITTEE MEMBER direct 1995-04-01 2001-08-14
PILGRIM BAXTER & ASSOCIATES LTD SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 1995-04-01 2004-11-22
LIBERTY RIDGE CAPITAL, INC. SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER AND OPERATING COMMITTEE MEMBER direct 1995-04-01 2005-05-24
LIBERTY RIDGE CAPITAL, INC. PRESIDENT, CHIEF ADMINISTRATIVE OFFICER AND OPERATING COMMITTEE MEMBER direct 1995-04-01 2005-11-17
LIBERTY RIDGE CAPITAL, INC. PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 1995-04-01 2007-03-28
DUNDEEWEALTH US, LP CHIEF COMPLIANCE OFFICER direct 2010-03-01 2010-04-01

LAU ASSOCIATES LLC

ownership team - last updated 2019-07-22
Name Title Start Date Direct/Indirect % Ownership
BRYN MAWR BANK CORPORATION SOLE MEMBER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC SOLE MEMBER OF JNJ HOLDINGS LLC indirect 2008-07-01
LAU ASSOCIATES LLC SOLE MEMBER direct 2008-07-01
PERRY CREEK CAPITAL LP SHAREHOLDER indirect 2008-08-01
BMT INVESTMENT ADVISERS SHAREHOLDER direct 2017-05-01
PETERSON, LUCINDA, LEA CHIEF FINANCIAL OFFICER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC TREASURER AND MANAGER direct 2008-11-01
LAU ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2008-11-01
WEAVER, JACOB, DORSEY PRESIDENT 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC PRESIDENT direct 2016-01-01
WELLMAN, STEPHEN, MICHAEL CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LIBERTY RIDGE CAPITAL, INC. DIRECTOR, PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 1995-04-01
ECHO POINT INVESTMENT MANAGEMENT, LLC CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER direct 2010-09-01
BMT INVESTMENT ADVISERS CHIEF COMPLIANCE OFFICER/TRUSTEE direct 2017-05-01
PILGRIM BAXTER VALUE INVESTORS INC SENIOR VICE PRESIDENT direct 1998-01-01 2001-01-29
PILGRIM BAXTER & ASSOCIATES LTD SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, EXECUTIVE COMMITTEE MEMBER direct 1995-04-01 2001-08-14
PILGRIM BAXTER & ASSOCIATES LTD SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER direct 1995-04-01 2004-11-22
LIBERTY RIDGE CAPITAL, INC. SENIOR VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER AND OPERATING COMMITTEE MEMBER direct 1995-04-01 2005-05-24
LIBERTY RIDGE CAPITAL, INC. PRESIDENT, CHIEF ADMINISTRATIVE OFFICER AND OPERATING COMMITTEE MEMBER direct 1995-04-01 2005-11-17
LIBERTY RIDGE CAPITAL, INC. PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER direct 1995-04-01 2007-03-28
DUNDEEWEALTH US, LP CHIEF COMPLIANCE OFFICER direct 2010-03-01 2010-04-01

LAU ASSOCIATES LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
BRYN MAWR BANK CORPORATION SOLE MEMBER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC SOLE MEMBER OF JNJ HOLDINGS LLC indirect 2008-07-01
LAU ASSOCIATES LLC SOLE MEMBER direct 2008-07-01
PERRY CREEK CAPITAL LP SHAREHOLDER indirect 2008-08-01
BMT INVESTMENT ADVISERS SHAREHOLDER direct 2017-05-01
PETERSON, LUCINDA, LEA CHIEF FINANCIAL OFFICER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC TREASURER AND MANAGER direct 2008-11-01
LAU ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2008-11-01
WEAVER, JACOB, DORSEY PRESIDENT 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC PRESIDENT direct 2016-01-01
WEARY, THOMAS, MARTIN CHIEF INVESTMENT OFFICER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CCO direct 2000-09-01
GRANGER, LAURA, DAVLIN CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01

LAU ASSOCIATES LLC

ownership team - last updated 2017-03-29
Name Title Start Date Direct/Indirect % Ownership
LAU, JUDITH, WISDOM FOUNDER 04/01/1985 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC FOUNDER direct 1985-04-01
WILMINGTON CAPITAL ADVISORS LLC CCO, PRESIDENT direct 2005-04-01
LAU & ASSOCIATES LTD PRESIDENT direct 1985-05-01 2005-08-31
LAU ASSOCIATES LLC SOLE SHAREHOLDER indirect 1985-01-01 2006-02-16
LAU ASSOCIATES LLC SOLE SHAREHOLDER indirect 2003-04-01 2008-03-27
LAU ASSOCIATES LLC PRESIDENT AND MANAGER direct 2008-07-01 2015-12-10
LAU ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01 2016-09-29
BRYN MAWR BANK CORPORATION SOLE MEMBER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC SOLE MEMBER OF JNJ HOLDINGS LLC indirect 2008-07-01
LAU ASSOCIATES LLC SOLE MEMBER direct 2008-07-01
PERRY CREEK CAPITAL LP SHAREHOLDER indirect 2008-08-01
BMT INVESTMENT ADVISERS SHAREHOLDER direct 2017-05-01
PETERSON, LUCINDA, LEA CHIEF FINANCIAL OFFICER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC TREASURER AND MANAGER direct 2008-11-01
LAU ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2008-11-01
RUEDA, JORGE, RAMON CHIEF EXECUTIVE OFFICER 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
WEAVER, JACOB, DORSEY PRESIDENT 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC PRESIDENT direct 2016-01-01
WEARY, THOMAS, MARTIN CHIEF INVESTMENT OFFICER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CCO direct 2000-09-01
GRANGER, LAURA, DAVLIN CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01

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