Lesa Sroufe & Company, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Lesa Sroufe & Company is an SEC-registered investment adviser that manages individual and institutional accounts, serving high net worth and non‑HNW individual clients as well as tax‑exempt entities and plans. The firm offers individualized portfolio management using publicly traded equities, fixed income and exchange‑traded funds, and also acts as a sub‑adviser for wrap fee accounts.
The firm follows a research‑driven, value‑oriented equity approach with a top‑down economic outlook, maintaining focused portfolios of roughly 25–35 stocks and the ability to hold up to 50% cash. Portfolios are managed with explicit buy/sell price discipline, low turnover, and separate Equity Appreciation and Total Return objectives tailored to client risk profiles and asset allocation targets.
Distinctive features in the brochure include operation of wrap/sub‑advised programs with LSC providing trading, accounting and performance reporting for those accounts, and regular client communications — individual quarterly statements plus a quarterly investment letter summarizing model performance and market outlook. The firm is employee‑owned, provides special project research (for concentrated positions and options strategies), and negotiates fees on a client‑by‑client basis.
Client services
Expertise
Fee options
Special projects or research services may be offered on a fixed-fee basis depending on scope and complexity.
Under $5 million - $5 million: 0.80% (80 basis points) - Equity Appreciation Objective $5 million - $20 million: 0.65% (65 basis points) - Equity Appreciation Objective $20 million+: 0.45% (45 basis points) - Equity Appreciation Objective Under $1 million - $1 million: 0.80% (80 basis points) - Total Return Objective $1 million - $3 million: 0.75% (75 basis points) - Total Return Objective $3 million - $5 million: 0.70% (70 basis points) - Total Return Objective $5 million+: 0.65% (65 basis points) - Total Return Objective Under $10 million - $10 million: 0.50% (50 basis points) - Wrap Account $10 million+: 0.30% (30 basis points) - Wrap Account Under $15 million - $15 million: 0.50% (50 basis points) - Institutional Equity-only Accounts
Transaction fees/commissions charged by executing broker or account custodian in addition to advisory fees.
Account minimum: $500,000 (negotiable) for directly managed accounts; $100,000 for sub-advised accounts
Main office
See office801 Second Ave, Suite 304
Seattle WA 98104
Advisors at this office
2
Offices (2)
Most active in
Alaska · California · Florida · Idaho · New York · Oregon · Washington
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Shaun C
Series 65
Seattle, WA
Lesa Sroufe & Company, Inc.
Shaun Corry is a Series 65-licensed financial advisor with 18 years of industry experience. He has been with Lesa Sroufe & Company, Inc. since 2006. The firm provides portfolio management and investment research services to individuals, corporate pension and profit-sharing plans, charitable institutions, foundations, and trusts. Lesa Sroufe & Company employs a research-driven, value-oriented investment approach with focused portfolios typically diversified across 25–35 stocks, offering both discretionary and sub-advised wrap accounts along with special-project research on equity matters.
Brett A
CFA®
Seattle, WA
Lesa Sroufe & Company, Inc.
Brett Anderson is a CFA® charterholder based in Seattle, WA, with four years of industry experience. He has worked at Lesa Sroufe & Company, Inc. since 2021, following prior roles at Aristotle Capital Management and Rimrock Capital Management. Lesa Sroufe & Company, Inc. provides portfolio management and investment research to individuals, corporate pension plans, and charitable institutions. The firm employs a research-driven, value-oriented investment approach with focused, diversified portfolios and offers sub-advisory services alongside direct account management.
Lesa S
CFA®, Series 63
Seattle, WA
Lesa Sroufe & Company, Inc.
Lesa Sroufe is a CFA® charterholder with 22 years of industry experience. She is the principal of Lesa Sroufe & Company, Inc., a Seattle-based firm she has led since 2004. Lesa holds a Series 63 license and manages a small team of three advisors. Lesa Sroufe & Company, Inc. provides portfolio management and investment research to individuals, corporate pension and profit-sharing plans, charitable institutions, foundations, and trusts. The firm employs a research-driven, value-oriented investment approach with focused portfolios typically diversified across 25–35 stocks and may hold up to 50% cash at management discretion. It also acts as a sub-adviser and wrap program sponsor, offering trading, accounting, and performance reporting services in addition to direct portfolio management.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)