LESA SROUFE & COMPANY, INC.

Advisory Business

Type of Organization	Other (specify)
Fiscal Year End	DECEMBER
Legal Location	Washington, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	212	$162.6M
Non-Discretionary	31	$10.2M
Total	243	$172.8M

Clients

Type	Number	RAUM
Individuals	141	$87.5M
HNW Individuals	99	$82.9M
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	<5	$400,733
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	1	$749,717
Other	<5	$1.3M

Type	Number
No. of Non-RAUM Clients	1
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newsletters
Compensation	% of AUMFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	1.3M
Both for Same	0

Portfolio Manager to Program	Sponsor
MAP	RBC WEALTH MANAGEMENT
MAC	UBS
GMAP	WEDBUSH
PRIVATE ADVISOR NETWORK	WELLS FARGO ADVISORS
INVESTMENT MANAGEMENT SERVICES	MORGAN STANLEY
CLIENT SELECTED MANAGERS	ROBERT W BAIRD
UNIFIED MANAGED ACCOUNT	ENVESTNET
MARKETPLACE	CHARLES SCHWAB

Identifiers

SEC RIA File Number	801-63880
SEC ERA File Number	801-63880
SEC CIK Numbers	1492162
SEC CRD Numbers	130232
Legal Entity Identifier	None

Principal Office

1200 5TH AVE., SUITE 1200
SEATTLE
WA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic