Lee Financial Group
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary investment management and comprehensive financial planning to individual and high‑net‑worth clients, delivering tailored portfolios and written financial plans that address retirement, estate, tax, insurance, college, cash‑flow and business planning. It also assists clients in selecting and monitoring third‑party asset managers and implements retirement account advice as a fiduciary.
Its investment approach emphasizes a Modern Portfolio Theory framework with a passive core of index mutual funds and ETFs, combined with strategic asset allocation and tactical deviations; the firm also incorporates fundamental and technical analysis as inputs. The adviser may implement portfolios through outside managers or an automated advisor platform and recommends institutional custodians for execution and custody.
Noteworthy features include the firm’s very small scale—reporting roughly $1.23 million in assets under management and about 14 clients—which supports a hands‑on, concentrated client relationship uncommon for many independent advisers. The principal brings corporate finance and advanced‑degree experience to the practice, the firm provides ongoing multi‑topic planning alongside portfolio management, it accepts clients without a stated account minimum, and it discloses platform services and proxy‑voting practices that clients should consider.
Client services
Expertise
Fee options
One-time fee of $1,250 – $5,000 for financial planning; ongoing quarterly flat fee of $1,250 – $5,000
$0 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.95% $2,000,001 - $3,000,000: 0.90% $3,000,001+: 0.80%
Main office
Ladera Ranch CA
Advisors at this office
1
Most active in
California
Also doing business as
Lee Financial Group · Lee Financial Group LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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