# Lesa Sroufe & Company

Lesa Sroufe & Company is a Bank / Wealth / Trust based in Seattle, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Seattle, United States
- **Region:** North America
- **Address:** Seattle, WA, United States
- **Founded:** 2004
- **Assets under management:** Undisclosed
- **Website:** sroufeco.com

## Regulatory record

- **CRD number:** 130232
- **SEC file number:** 801-63880
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/130232

## About

Founded in 2004 by Lesa Sroufe, the firm operates as a registered investment advisor based in Seattle, Washington. Sroufe structured the practice to serve a cross-section of clients including individuals, high-net-worth families, pension funds, and institutional accounts. The firm's longevity in a market dominated by technology fortunes implies a client base built on professional-services referrals rather than venture-event liquidity. The firm's stated capabilities span financial planning, investment management, and comprehensive wealth management. The pension fund and institutional advisory work points to a fiduciary process that meets ERISA or equivalent standards, a structural commitment that differentiates the practice from planning-oriented RIAs that serve only individuals. No direct investments in named companies have been publicly tied to the firm. Details on team size, office expansion, or total assets under advisement remain private. The firm does not appear to sponsor adjacent vehicles such as philanthropic foundations, real-asset arms, or private fund structures — reinforcing a classic, contained advisory practice. In the last 24 months, no publicly announced promotions, fund closings, or strategic shifts have been recorded for the firm, consistent with a low-profile operational tempo. Structurally, Lesa Sroufe & Company stands apart from the multi-family-office trend by remaining a named-advisor practice. The founder retains the CIO role, eliminating the management-committee complexity common at larger RIAs. This architecture concentrates investment decision-making authority in a single named principal — a governance advantage for allocators seeking clear accountability, but also a succession question as the firm matures.

## People

- Lesa Sroufe — Founder and Chief Investment Officer

## Questions

### Is the firm's AUM publicly disclosed?

No. Lesa Sroufe & Company does not publicly report assets under management or advisement. This is not uncommon for boutique RIAs that operate below the SEC filing threshold or that file but exclude the figure from public marketing. Allocators evaluating the firm should request this directly during due diligence alongside a client concentration breakdown.

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- [Investments & Financial Planning](https://altss.com/profile/investments-and-financial-planning)
- [O'Higgins Asset Management](https://altss.com/profile/ohiggins-asset-management)

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Last updated: 2026-08-11T02:43:31.692Z

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