LEE FINANCIAL COMPANY

HTTPS://WWW.LEEFIN.COM DALLAS, TX Investment Advisor How do I update this listing?

LEE Financial Company is based out of Dallas. LEE Financial Company is a large advisory firm with 527 clients and discretionary assets under management (AUM) of $1,001,575,272 (Form ADV from 2018-10-01). Their last reported 13F filing for Q3 2019 included $444,548,000 in managed 13F securities and a top 10 holdings concentration of 57.17%. LEE Financial Company's largest holding is iShares Trust - Core S&P Mid-Cap 400 Exchange Traded Fund with shares held of 367,075. Whalewisdom has at least 12 13F filings, and 5 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $444.548 Million
  • Prior Market Value $442.829 Million
  • New Purchases25 stocks
  • Additional Purchases79 stocks
  • Sold out of35 stocks
  • Reduced holdings in71 stocks
  • Top 10 Holdings % 57.17 %
  • Turnover % [1]:11.47%
  • Turnover Alt % [2]: 5.43 %
  • Time Held Top20:7.50 quarters
  • Time Held Top10:7.40 quarters
  • Time Held All:7.22 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 2019-11-14

Performance for Q3 2019: 4.93%
Performance Last 4 Quarters: 7.43%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
GW Investment Management, LLC

View Last Form Adv Compilation Report on Record

LEE FINANCIAL COMPANY, LLC
Classified as Hedge Fund
8350 N. CENTRAL EXPRESSWAY SUITE 1800
DALLAS TX    75206
Country: United States

Business Phone: 972-960-1001
Fax: 972-404-1123
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: TX
Number of employees: 32
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 1,008,040,000
Total Number of Clients: 527
Amount of client funds and securities by related persons: 12,112,800
Total Number of clients from related persons: 6
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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LEE FINANCIAL COMPANY, LLC

ownership team - last updated 2019-07-03
Name Title Start Date Direct/Indirect % Ownership
PINGENOT, DANA, LYNN PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER direct 2010-09-01
LEE FINANCIAL CORP SHAREHOLDER direct 2000-12-01 2001-02-01
LEE FINANCIAL CORP SHAREHOLDER direct 1998-07-01 2005-11-21
LEE FINANCIAL CORP VICE PRESIDENT/SECRETARY direct 2006-01-01 2008-03-27
LEE FINANCIAL CORP VICE PRESIDENT/SECRETARY/CAPITAL STRATEGIST direct 2006-01-01 2010-03-25
LEE FINANCIAL CORP PRESIDENT/SECRETARY/CAPITAL STRATEGIST direct 2010-09-01 2013-10-18
LEE, RICHARD, ROCHESTER CEO/FOUNDER/ADVISOR 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP CEO/FOUNDER/ADVISOR direct 2010-09-01
LEE FINANCIAL CORP PRESIDENT direct 1975-01-01 2008-03-27
LEE FINANCIAL CORP PRESIDENT/INVESTMENT STRATEGIST direct 1975-01-01 2010-03-25
LEE FINANCIAL CORP CEO/FOUNDER/INVESTMENT STRATEGIST direct 2010-09-01 2013-10-18
LFC HOLDING CO. OWNER 03/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP ACTIVE indirect 2016-03-01
LEE FINANCIAL COMPANY OWNER direct 2016-03-01
WHIDBY, MARK, WENDALL CHIEF INVESTMENT OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL COMPANY, LLC CHIEF INVESTMENT OFFICER direct 2016-05-01
WILLIAMS, CHRISTINA, SUSANNE DIRECTOR OF FINANCIAL PLANNING 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL COMPANY, LLC DIRECTOR OF FINANCIAL PLANNING direct 2017-12-01
TOLER, JULIE, ENSLEY CHIEF COMPLIANCE OFFICER 06/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2019-06-01
LEE, RICHARD, ROCHESTER ACTIVE LFC HOLDING CO. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP ACTIVE indirect 2016-03-01
LEE FINANCIAL COMPANY OWNER direct 2016-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LFC BORDERS LTD United States 805-9616618815 Real Estate Fund 2,233,680 50,000 Fund of Funds
LFC ENERGY RESOURCES LTD United States 805-9476304445 Private Equity Fund 523,096 50,000 Fund of Funds
LFC ISLAND PARTNERS LTD United States 805-1967396789 Real Estate Fund 997,937 50,000
LFC MATRIX RESOURCES United States 805-3965034582 Private Equity Fund 2,876,215 50,000 Fund of Funds
LFC NOVUS LTD United States 805-9623177469 Private Equity Fund 1,381,000 50,000 Fund of Funds
LFC ENERGY ROYALTY LTD United States 805-1039111771 Private Equity Fund 226,921 50,000 Fund of Funds
LFC ALPHA LTD United States 805-1618028527 Hedge Fund 30,080,089 50,000 Fund of Funds
LFC CENTURY United States 805-8899741322 Real Estate Fund 199,808 50,000 Fund of Funds
LFC ORION LTD United States 805-2090133089 Private Equity Fund 778,607 50,000 Fund of Funds
LFC HORIZON United States 805-1574065457 Real Estate Fund 606,599 50,000 Fund of Funds
LFC STANFORD LTD United States 805-7890681527 Real Estate Fund 4,973,813 50,000 Fund of Funds
LFC TERRA LTD United States 805-5587881943 Real Estate Fund 1,539,101 25,000 Fund of Funds
LFC PROVINCE LTD United States 805-8676095709 Real Estate Fund 1,285,298 50,000 Fund of Funds
LFC QUIK WAY SHELL DFW LTD United States 805-4459113828 Private Equity Fund 9,884,168 50,000 Fund of Funds
LFC REGIONS LTD United States 805-3873940105 Real Estate Fund 645,331 50,000 Fund of Funds
LFC STRUCTURED SETTLEMENT United States 805-7065054466 Private Equity Fund 2,349,609 50,000 Fund of Funds
LFC SUMMIT RESOURCES LTD United States 805-9169913037 Private Equity Fund 186,352 50,000 Fund of Funds
LFC TARGET PERFORMANCE FUND LTD. United States 805-1942362870 Real Estate Fund 471,368 25,000 Fund of Funds
LFC DELTA FUND LTD United States 805-9013475474 Private Equity Fund 319,392 50,000 Fund of Funds
LFC OMEGA LTD United States 805-5845151076 Private Equity Fund 61,215 50,000 Fund of Funds

LEE FINANCIAL COMPANY, LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
PINGENOT, DANA, LYNN PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER direct 2010-09-01
LEE FINANCIAL CORP SHAREHOLDER direct 2000-12-01 2001-02-01
LEE FINANCIAL CORP SHAREHOLDER direct 1998-07-01 2005-11-21
LEE FINANCIAL CORP VICE PRESIDENT/SECRETARY direct 2006-01-01 2008-03-27
LEE FINANCIAL CORP VICE PRESIDENT/SECRETARY/CAPITAL STRATEGIST direct 2006-01-01 2010-03-25
LEE FINANCIAL CORP PRESIDENT/SECRETARY/CAPITAL STRATEGIST direct 2010-09-01 2013-10-18
LEE, RICHARD, ROCHESTER CEO/FOUNDER/ADVISOR 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP CEO/FOUNDER/ADVISOR direct 2010-09-01
LEE FINANCIAL CORP PRESIDENT direct 1975-01-01 2008-03-27
LEE FINANCIAL CORP PRESIDENT/INVESTMENT STRATEGIST direct 1975-01-01 2010-03-25
LEE FINANCIAL CORP CEO/FOUNDER/INVESTMENT STRATEGIST direct 2010-09-01 2013-10-18
WALLACE, DUSTY, DAWN CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP CHIEF COMPLIANCE OFFICER direct 2016-03-01
LFC HOLDING CO. OWNER 03/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP ACTIVE indirect 2016-03-01
LEE FINANCIAL COMPANY OWNER direct 2016-03-01
WHIDBY, MARK, WENDALL CHIEF INVESTMENT OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL COMPANY, LLC CHIEF INVESTMENT OFFICER direct 2016-05-01
WILLIAMS, CHRISTINA, SUSANNE DIRECTOR OF FINANCIAL PLANNING 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL COMPANY, LLC DIRECTOR OF FINANCIAL PLANNING direct 2017-12-01
LEE, RICHARD, ROCHESTER ACTIVE LFC HOLDING CO. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP ACTIVE indirect 2016-03-01
LEE FINANCIAL COMPANY OWNER direct 2016-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LFC BORDERS LTD United States 805-9616618815 Real Estate Fund 2,233,680 50,000 Fund of Funds
LFC ENERGY RESOURCES LTD United States 805-9476304445 Private Equity Fund 523,096 50,000 Fund of Funds
LFC ISLAND PARTNERS LTD United States 805-1967396789 Real Estate Fund 997,937 50,000
LFC MATRIX RESOURCES United States 805-3965034582 Private Equity Fund 2,876,215 50,000 Fund of Funds
LFC NOVUS LTD United States 805-9623177469 Private Equity Fund 1,381,000 50,000 Fund of Funds
LFC ENERGY ROYALTY LTD United States 805-1039111771 Private Equity Fund 226,921 50,000 Fund of Funds
LFC ORION LTD United States 805-2090133089 Private Equity Fund 778,607 50,000 Fund of Funds
LFC PROVINCE LTD United States 805-8676095709 Real Estate Fund 1,285,298 50,000 Fund of Funds
LFC QUIK WAY SHELL DFW LTD United States 805-4459113828 Private Equity Fund 9,884,168 50,000 Fund of Funds
LFC REGIONS LTD United States 805-3873940105 Real Estate Fund 645,331 50,000 Fund of Funds
LFC STRUCTURED SETTLEMENT United States 805-7065054466 Private Equity Fund 2,349,609 50,000 Fund of Funds
LFC SUMMIT RESOURCES LTD United States 805-9169913037 Private Equity Fund 186,352 50,000 Fund of Funds
LFC TARGET PERFORMANCE FUND LTD. United States 805-1942362870 Real Estate Fund 471,368 25,000 Fund of Funds
LFC ALPHA LTD United States 805-1618028527 Hedge Fund 30,080,089 50,000 Fund of Funds
LFC CENTURY United States 805-8899741322 Real Estate Fund 199,808 50,000 Fund of Funds
LFC HORIZON United States 805-1574065457 Real Estate Fund 606,599 50,000 Fund of Funds
LFC STANFORD LTD United States 805-7890681527 Real Estate Fund 4,973,813 50,000 Fund of Funds
LFC TERRA LTD United States 805-5587881943 Real Estate Fund 1,539,101 25,000 Fund of Funds
LFC DELTA FUND LTD United States 805-9013475474 Private Equity Fund 319,392 50,000 Fund of Funds
LFC OMEGA LTD United States 805-5845151076 Private Equity Fund 61,215 50,000 Fund of Funds

LEE FINANCIAL COMPANY, LLC

ownership team - last updated 2017-07-03
Name Title Start Date Direct/Indirect % Ownership
LFC HOLDING CO. OWNER 03/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP ACTIVE indirect 2016-03-01
LEE FINANCIAL COMPANY OWNER direct 2016-03-01
WALLACE, DUSTY, DAWN CHIEF COMPLIANCE OFFICER 03/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP CHIEF COMPLIANCE OFFICER direct 2016-03-01
LEE, RICHARD, ROCHESTER CEO/FOUNDER/ADVISOR 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP CEO/FOUNDER/ADVISOR direct 2010-09-01
LEE FINANCIAL CORP PRESIDENT direct 1975-01-01 2008-03-27
LEE FINANCIAL CORP PRESIDENT/INVESTMENT STRATEGIST direct 1975-01-01 2010-03-25
LEE FINANCIAL CORP CEO/FOUNDER/INVESTMENT STRATEGIST direct 2010-09-01 2013-10-18
PINGENOT, DANA, LYNN PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER direct 2010-09-01
LEE FINANCIAL CORP SHAREHOLDER direct 2000-12-01 2001-02-01
LEE FINANCIAL CORP SHAREHOLDER direct 1998-07-01 2005-11-21
LEE FINANCIAL CORP VICE PRESIDENT/SECRETARY direct 2006-01-01 2008-03-27
LEE FINANCIAL CORP VICE PRESIDENT/SECRETARY/CAPITAL STRATEGIST direct 2006-01-01 2010-03-25
LEE FINANCIAL CORP PRESIDENT/SECRETARY/CAPITAL STRATEGIST direct 2010-09-01 2013-10-18
LEE, RICHARD, ROCHESTER ACTIVE LFC HOLDING CO. 03/01/2016 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
LEE FINANCIAL CORP ACTIVE indirect 2016-03-01
LEE FINANCIAL COMPANY OWNER direct 2016-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
LFC ISLAND PARTNERS LTD United States 805-1967396789 Real Estate Fund 2,618,464 50,000
LFC MATRIX RESOURCES United States 805-3965034582 Private Equity Fund 3,371,338 50,000 Fund of Funds
LFC NOVUS LTD United States 805-9623177469 Private Equity Fund 3,185,160 50,000 Fund of Funds
LFC ENERGY ROYALTY LTD United States 805-1039111771 Private Equity Fund 1,507,316 50,000 Fund of Funds
LFC ORION LTD United States 805-2090133089 Private Equity Fund 2,041,978 50,000 Fund of Funds
LFC OMNI LTD United States 805-5106460858 Private Equity Fund 90,246 50,000 Fund of Funds
LFC PROVINCE LTD United States 805-8676095709 Real Estate Fund 3,442,335 50,000 Fund of Funds
LFC QUIK WAY SHELL DFW LTD United States 805-4459113828 Private Equity Fund 15,211,801 50,000 Fund of Funds
LFC REGIONS LTD United States 805-3873940105 Real Estate Fund 408,026 50,000 Fund of Funds
LFC STRUCTURED SETTLEMENTS United States 805-7065054466 Private Equity Fund 4,693,062 50,000 Fund of Funds
LFC SUMMIT RESOURCES LTD United States 805-9169913037 Private Equity Fund 753,913 50,000 Fund of Funds
LFC TARGET PERFORMANCE FUND LTD. United States 805-1942362870 Real Estate Fund 581,691 25,000 Fund of Funds
LFC ALPHA LTD United States 805-1618028527 Hedge Fund 31,310,415 50,000 Fund of Funds
LFC CENTURY United States 805-8899741322 Real Estate Fund 219,239 50,000 Fund of Funds
LFC HORIZON United States 805-1574065457 Real Estate Fund 701,371 50,000 Fund of Funds
LFC STANFORD LTD United States 805-7890681527 Real Estate Fund 3,635,012 50,000 Fund of Funds
LFC TERRA LTD United States 805-5587881943 Real Estate Fund 1,803,001 25,000 Fund of Funds
LFC DELTA FUND LTD United States 805-9013475474 Private Equity Fund 1,018,533 50,000 Fund of Funds
LFC OMEGA LTD United States 805-5845151076 Private Equity Fund 308,450 50,000 Fund of Funds
LFC ASSIGNMENT LTD United States 805-6629461818 Private Equity Fund 252,049 50,000 Fund of Funds
LFC BORDERS LTD United States 805-9616618815 Real Estate Fund 4,503,897 50,000 Fund of Funds
LFC ENERGY RESOURCES LTD United States 805-9476304445 Private Equity Fund 3,741,383 50,000 Fund of Funds
LFC PROPERTY GROUP II United States 805-7103039505 Real Estate Fund 216,107 50,000 Fund of Funds

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