LEE INVESTMENT MANAGEMENT LLC
Adviser information for LEE INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | New York, United States |
Employees
Total Number of Employees | 1 |
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Investment Advisory/Research | 1 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 0 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 287 | $75.3M |
Non-Discretionary | 0 | $0 |
Total | 287 | $75.3M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 66 | $13.2M |
HNW Individuals | 35 | $62.2M |
Banking or thrift institutions | 0 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | 0 | $0 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 40 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 51-100 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newsletters |
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Compensation | % of AUMHourly charges |
Identifiers
SEC RIA File Number | 801-107644 |
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SEC ERA File Number | 801-107644 |
SEC CIK Numbers | None |
SEC CRD Numbers | 120535 |
Legal Entity Identifier | None |
Principal Office
63 PUTNAM STSUITE 202
SARATOGA SPRINGS
NY
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 518-580-0088, Fax: 518-207-0929
Chief Compliance Officer
JAMES LEE
MANAGING MEMBER
63 PUTNAM ST.
SUITE 202
SARATOGA SPRINGS
NY
United States
Tel:
518-580-0088
Fax:
518-207-0929
J*******@*********M
(Full email address available in API data)
Regulatory Contact
JAMES LEE
MANAGING MEMBER
63 PUTNAM ST.
SUITE 202
SARATOGA SPRINGS
NY
United States
Tel:
518-580-0088
Fax:
518-207-0929
J*******@*********M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
LEE, JAMES, WON | Individual | – | CHIEF COMPLIANCE OFFICER, MANAGING MEMBER | 09/1998 | > 75% |