Lee Financial Co

Registered adviser

CIK

1391166

Location

Dallas, TX

Portfolio Value

Small $370,897,298

Diversification

Diversified

Reports for

TORTOISE CAPITAL ADVISORS, L.L.C. GW&K Investment Management, LLC O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Filing Date

Global Rank

#4,421 / 8,807 ▼ 359 · as of Jun 2026

Top Industry

Insurance - Diversified 19.1%

Period ended 21 days ago

Filed Oct 16, 2026 · 5d

27 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 105910

Roster of Oct 1, 2026

Regulatory AUM

$1,682,470,670

Main clients

Individuals and high net worth (97% of AUM)

Private funds

4 funds · Mixed

Focus by fund count, roster of Oct 1, 2026

$13,539,707 gross assets

Private funds on Schedule D 7.B.(1)

As filed Apr 16, 2024; SEC's bulk Form ADV archive ends with 2024 filings.

$13,696,045 gross assets in 12 funds Hedge funds $12,386,452 (1) Real estate funds $766,282 (6) Private equity funds $543,311 (5)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$1,682,470,670	Individuals and high net worth (97%)
Apr 2025 to Mar 2026	$1,496,621,112	Individuals and high net worth (97%)
Apr 2024 to Mar 2025	$1,337,614,017	Individuals and high net worth (97%)
May 2023 to Mar 2024	$1,166,341,053	Individuals and high net worth (96%)
Apr 2023	$1,166,341,053	Individuals and high net worth (96%)
Apr 2022 to Mar 2023	$1,306,481,288	Individuals and high net worth (96%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 70.3% of the book (60%+)

Turnover

Low turnover

8.3% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 21.9 quarters (12+), a floor since 56.6% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 74.8%; sector active share 50.4% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

154 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

30.7%

+1.0 pts

Top 5

60.0%

+0.7 pts

Top 10

72.2%

+1.9 pts

HHI

1,219

Diversified+64

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	57.3%	$212,374,415	63
Technology	14.5%	$53,609,736	21
Financial Services	12.2%	$45,269,447	13
Energy	3.5%	$13,095,683	15
Consumer Cyclical	3.0%	$11,107,060	10
Healthcare	2.4%	$8,750,037	9
Industrials	2.0%	$7,298,674	8
Consumer Defensive	1.9%	$7,135,562	4
Basic Materials	1.3%	$4,990,332	2
Communication Services	1.1%	$3,958,699	3
Utilities	0.7%	$2,517,639	4
Real Estate	0.2%	$790,014	2

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
IJT	iShares S&P Small-Cap 600 Growth ETF	+105,482	110,407	$0
IJH	iShares Core S&P Mid-Cap ETF	+23,882	1,360,132	$0
FNDX	Schwab Fundamental U.S. Large Company ETF	+21,295	2,198,333	$69,181,539
EMLP	First Trust North American Energy Infrastructure Fund	+10,749	704,316	$28,869,912
FNDE	Schwab Fundamental Emerging Markets Equity ETF	+9,274	45,769	$1,916,348
IGF	iShares Global Infrastructure ETF	+7,646	29,002	$0
FNDF	Schwab Fundamental International Equity ETF	+6,050	218,131	$11,724,541
GPC	Genuine Parts Co	+4,093	12,366	$1,554,899
IJR	iShares Core S&P Small-Cap ETF	+3,950	51,737	$0
SCHA	Schwab U.S. Small-Cap ETF	+3,584	123,196	$4,019,885
NEM	NEWMONT Corp /DE/	+2,400	35,535	$4,098,606
IVV	iShares Core S&P 500 ETF	+2,057	270,957	$0
RWR	State Street(R) SPDR(R) Dow Jones(R) REIT ETF	+975	11,826	$1,240,783
NVDA	Nvidia Corp	+936	20,089	$4,587,925
IVW	iShares S&P 500 Growth ETF	+822	355,775	$0
GLDM	World Gold Trust	+662	4,882	$401,202
IEMG	iShares Trust	+654	16,400	$0
SHY	iShares 1-3 Year Treasury Bond ETF	+616	9,661	$0
IEFA	iShares Core MSCI EAFE ETF	+554	25,360	$0
EPD	Enterprise Products Partners L.P.	+474	51,831	$1,845,701
WMB	Williams Companies, Inc.	+407	23,290	$1,583,020
CSCO	Cisco Systems, Inc.	+364	14,976	$1,611,866
AVGO	Broadcom Inc.	+324	10,610	$3,726,124
AMZN	Amazon Com Inc	+311	9,929	$2,473,809
SCHM	Schwab U.S. Mid-Cap ETF	+247	317,302	$10,794,614
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
WTRG	Essential Utilities, Inc.	−11,926	15,090	$591,376
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	−10,097	68,885	$4,236,427
BRK-B	Berkshire Hathaway Inc	−6,376	59,183	$29,470,174
SLV	iShares Silver Trust	−4,584	6,940	$378,299
DFUS	Dimensional U.S. Equity Market ETF	−4,499	5,969	$495,606
SPYM	State Street(R) SPDR(R) Portfolio S&P 500(R) ETF	−3,950	3,326	$298,541
SHV	iShares 0-1 Year Treasury Bond ETF	−3,568	102,505	$0
TNGY	Tortoise Energy ETF	−3,500	206,596	$2,189,917
ORCL	Oracle Corp	−2,853	3,183	$437,025
ET	Energy Transfer LP	−2,720	37,584	$0
JPST	JPMorgan Ultra-Short Income ETF	−1,999	8,981	$452,372
SCHX	Schwab U.S. Large-Cap ETF	−695	340,100	$10,203,000
PAA	Plains All American Pipeline LP	−654	21,322	$505,757
GLD	Spdr Gold Trust	−520	73,918	$28,150,931
DGRO	iShares Core Dividend Growth ETF	−500	4,930	$0
—		−495	37,260	$0
PAYX	Paychex Inc	−456	7,909	$779,036
XOM	ExxonMobil Holdings Corp	−339	16,796	$2,733,549
DVY	iShares Select Dividend ETF	−312	47,288	$0
ORI	Old Republic International Corp	−273	33,177	$1,237,833
PFE	Pfizer Inc	−261	9,760	$278,355
PM	Philip Morris International Inc.	−237	14,777	$2,819,747
SCHF	Schwab International Equity ETF	−230	70,529	$1,937,431
ABT	Abbott Laboratories	−215	11,992	$1,185,168
QQQ	Invesco Qqq Trust, Series 1	−181	28,565	$21,131,530
No positions match the current search.

New Positions

Positions the filer opened this quarter

4 positions

Ticker	Company	Shares	Value
CRWD	CrowdStrike Holdings, Inc.	2,932	$776,247
LEGH	Legacy Housing Corp	7,600	$217,892
ISTB	iShares Core 1-5 Year USD Bond ETF	7,624	$0
STIP	iShares 0-5 Year TIPS Bond ETF	3,918	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

12 positions

Ticker	Company	Shares	Value
OKE	Oneok Inc /New/	21,862	$1,900,681
IBM	International Business Machines Corp	1,613	$453,590
JCPB	JPMorgan Core Plus Bond ETF	8,034	$377,115
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	6,146	$366,854
BA	Boeing Co	1,101	$238,333
CAT	Caterpillar Inc	222	$236,407
STZ	Constellation Brands, Inc.	1,600	$222,544
GS	Goldman Sachs Group Inc	218	$220,478
CMI	Cummins Inc	303	$216,101
T	At&T Inc.	9,984	$206,668
KMI	Kinder Morgan, Inc.	6,337	$202,593
IUSG	iShares Core S&P U.S. Growth ETF	1,779	$0
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

154 tracked positions · $370,897,298 total · filing declares 218 positions · $800,874,179 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 154 positions by value · page 1 of 4

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
FNDX	Schwab Fundamental U.S. Large Company ETF	Added	2,198,333	+21,295	$69,181,539	+2.2%	18.65%
BRK-B	Berkshire Hathaway Inc Financial Services	Reduced	59,183	-6,376	$29,470,174	−10.2%	7.95%
EMLP	First Trust North American Energy Infrastructure Fund	Added	704,316	+10,749	$28,869,912	−4.3%	7.78%
GLD	Spdr Gold Trust	Reduced	73,918	-520	$28,150,931	+2.7%	7.59%
AAPL	Apple Inc. Technology	Reduced	64,539	-35	$21,492,777	+15.0%	5.79%
QQQ	Invesco Qqq Trust, Series 1	Reduced	28,565	-181	$21,131,530	−0.2%	5.70%
FNDF	Schwab Fundamental International Equity ETF	Added	218,131	+6,050	$11,724,541	+4.8%	3.16%
SCHM	Schwab U.S. Mid-Cap ETF	Added	317,302	+247	$10,794,614	−7.7%	2.91%
SCHX	Schwab U.S. Large-Cap ETF	Reduced	340,100	-695	$10,203,000	+1.7%	2.75%
MSFT	Microsoft Corp Technology	Added	14,150	+152	$7,257,534	+39.0%	1.96%
NVDA	Nvidia Corp Technology	Added	20,089	+936	$4,587,925	+19.7%	1.24%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Reduced	68,885	-10,097	$4,236,427	+1.0%	1.14%
NEM	NEWMONT Corp /DE/ Basic Materials	Added	35,535	+2,400	$4,098,606	+32.4%	1.11%
SCHA	Schwab U.S. Small-Cap ETF	Added	123,196	+3,584	$4,019,885	−7.0%	1.08%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Reduced	10,042	-22	$3,758,118	+0.9%	1.01%
AVGO	Broadcom Inc. Technology	Added	10,610	+324	$3,726,124	−4.1%	1.00%
DELL	Dell Technologies Inc. Technology	Reduced	6,896	-117	$3,709,703	+22.6%	1.00%
SCHE	Schwab Emerging Markets Equity ETF	Held	95,863	0	$3,494,206	+0.5%	0.94%
JPM	Jpmorgan Chase & Co Financial Services	Added	10,025	+78	$3,316,570	+1.9%	0.89%
PM	Philip Morris International Inc. Consumer Defensive	Reduced	14,777	-237	$2,819,747	+3.8%	0.76%
XOM	ExxonMobil Holdings Corp Energy	Reduced	16,796	-339	$2,733,549	+16.7%	0.74%
AMZN	Amazon Com Inc Consumer Cyclical	Added	9,929	+311	$2,473,809	+7.9%	0.67%
VOO	VANGUARD 500 INDEX FUND	Added	3,344	+52	$2,343,675	+3.7%	0.63%
ABBV	AbbVie Inc. Healthcare	Reduced	8,735	-23	$2,284,988	+3.7%	0.62%
CFG	Citizens Financial Group Inc/Ri Financial Services	Reduced	35,379	-101	$2,255,764	−9.3%	0.61%
TNGY	Tortoise Energy ETF	Reduced	206,596	-3,500	$2,189,917	+7.3%	0.59%
KO	Coca Cola Co Consumer Defensive	Added	25,186	+9	$2,168,010	+6.0%	0.58%
LLY	ELI LILLY & Co Healthcare	Added	1,713	+45	$1,982,077	−0.9%	0.53%
SCHF	Schwab International Equity ETF	Reduced	70,529	-230	$1,937,431	−1.2%	0.52%
FNDE	Schwab Fundamental Emerging Markets Equity ETF	Added	45,769	+9,274	$1,916,348	+32.3%	0.52%
TXN	Texas Instruments Inc Technology	Reduced	6,740	-14	$1,887,805	−6.2%	0.51%
MS	Morgan Stanley Financial Services	Reduced	9,877	-30	$1,857,665	−10.3%	0.50%
EPD	Enterprise Products Partners L.P. Energy	Added	51,831	+474	$1,845,701	−2.2%	0.50%
VB	Vanguard Index Funds	Added	6,301	+11	$1,792,571	−6.0%	0.48%
GOOG	Alphabet Inc. Communication Services	Held	4,858	0	$1,655,314	−3.6%	0.45%
CSCO	Cisco Systems, Inc. Technology	Added	14,976	+364	$1,611,866	−6.1%	0.43%
WMB	Williams Companies, Inc. Energy	Added	23,290	+407	$1,583,020	−6.9%	0.43%
GPC	Genuine Parts Co Consumer Cyclical	Added	12,366	+4,093	$1,554,899	+59.3%	0.42%
HD	Home Depot, Inc. Consumer Cyclical	Reduced	5,432	-1	$1,545,348	−19.3%	0.42%
RTX	RTX Corp Industrials	Added	8,181	+44	$1,518,802	−1.6%	0.41%
ETR	Entergy Corp /De/ Utilities	Reduced	15,292	-41	$1,517,883	−13.8%	0.41%
STX	Seagate Technology Holdings plc Technology	Reduced	1,625	-6	$1,498,801	−4.8%	0.40%
WMT	Walmart Inc. Consumer Defensive	Added	14,422	+42	$1,498,733	−8.0%	0.40%
FAST	Fastenal Co Industrials	Reduced	30,003	-93	$1,486,048	+2.8%	0.40%
ETN	Eaton Corp plc Industrials	Reduced	3,423	-7	$1,470,897	+0.6%	0.40%
BLK	BlackRock, Inc. Financial Services	Added	1,348	+24	$1,426,573	+12.1%	0.38%
FERG	Ferguson Enterprises Inc. /DE/ Industrials	Reduced	6,319	-17	$1,406,734	−6.4%	0.38%
QSR	Restaurant Brands International Inc. Consumer Cyclical	Reduced	19,485	-59	$1,384,993	−2.3%	0.37%
TSM	Taiwan Semiconductor Manufacturing Co Ltd Technology	Added	3,035	+11	$1,384,535	−4.1%	0.37%
AMGN	Amgen Inc Healthcare	Added	3,196	+6	$1,347,145	+16.6%	0.36%

Showing the top 50 of 154 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.