LEHMAN FINANCIAL RESOURCES
LEHMAN & DERAFELO FINANCIAL RESOURCES LLC Legal Name
Adviser information for LEHMAN FINANCIAL RESOURCES last updated from Form ADV on March 21st, 2023. 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 |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,374 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 2,374 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 460 | $116.6M |
| HNW Individuals | 259 | $1.0B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.2M |
| Charitable organizations | <5 | $1.9M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 722 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-113642 |
|---|---|
| SEC ERA File Number | 801-113642 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 292523 |
| Legal Entity Identifier | None |
Principal Office
1215 W. BALTIMORE PIKESUITE 8
MEDIA
PA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 610-565-2343, Fax: 610-565-2513
Chief Compliance Officer
RICHARD D DERAFELO
MANAGING MEMBER
1215 WEST BALTIMORE PIKE
SUITE 8
MEDIA
PA
United States
Tel:
610-565-2343
Fax:
610-565-2513
R***@***************************M
(Full email address available in API data)
Regulatory Contact
RONALD S LEHMAN
MANAGING MEMBER
1215 WEST BALTIMORE PIKE
SUITE 8
MEDIA
PA
United States
Tel:
610-565-2343
Fax:
610-565-2513
R**@***************************M
(Full email address available in API data)
Industry Affiliates
| LEHMAN FINANCIAL SERVICES | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LD OPPORTUNITY FUND, LP | Private Equity Fund | $42.9M | $0.3M | 47 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DERAFELO, RICHARD, DAVID | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 12/2017 | 50-75% |
| LEHMAN, RONALD, SCOTT | Individual | – | MANAGING MEMBER | 12/2017 | 50-75% |