Lee Financial Co — 13F Holdings & Portfolio
CIK 1391166 · latest 13F-HR filed 2026-10-16
Lee Financial Co manages $800.9M in 13F-reported U.S. long-equity assets across 218 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (25.91%), IJH (12.22%), FNDX (8.64%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 5 new positions and exited 13; 32 existing positions rose in reported value and 48 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$800.9M
Long-equity book
Holdings
218
Distinct positions
Period
2026-09-30
Filed 2026-10-16
Q/Q Activity
+5 / −13 / ↑32 / ↓48
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26IVV25.9% · +1%IJH12.2% · +2%FNDX8.6% · +1%IVW6.3% · +0%BRK.B3.7% · -10%EMLP3.6% · +2%GLD3.5% · -1%AAPL2.7% · -0%QQQ2.6% · -1%IJT2.2% · +2142%FNDF1.5% · +3%SHV1.4% · -3%SCHM1.3% · +0%SCHX1.3% · -0%MSFT0.9% · +1%DVY0.9% · -1%IJR0.9% · +8%ACWI0.8% · -0%IWP0.6% · -1%NVDA0.6% · +5%XLE0.5% · -13%NEM0.5% · +7%SCHA0.5% · +3%VTI0.5% · -0%AVGO0.5% · +3%DELL0.5% · -2%SCHE0.4% · 0%JPM0.4% · +1%PM0.4% · -2%XOM0.3% · -2%AMZN0.3% · +3%IEFA0.3% · +2%VOO0.3% · +2%ABBV0.3% · -0%CFG0.3% · -0%TNGY0.3% · -2%KO0.3% · 0%LLY0.2% · +3%SCHF0.2% · -0%FNDE0.2% · +25%TXN0.2% · -0%MS0.2% · -0%EPD0.2% · +1%VB0.2% · +0%IGF0.2% · +36%GOOG0.2% · 0%SCZ0.2% · 0%CSCO0.2% · +2%WMB0.2% · +2%GPC0.2% · +50%HD0.2% · -0%RTX0.2% · +0%ETR0.2% · -0%STX0.2% · -0%WMT0.2% · +0%FAST0.2% · -0%ETN0.2% · -0%BLK0.2% · +2%FERG0.2% · -0%QSR0.2% · -0%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 71.4%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Jul 31, 2026.
Assets Under Management
$1.68B
Discretionary
$1.65B
Employees
39
Accounts
1,745
Address
8350 N. CENTRAL EXPRESSWAY
SUITE 1800
DALLAS, TX 75206
SUITE 1800
DALLAS, TX 75206
Phone
(972) 960-1001
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BOYCE, DANNY, RAY Control | SENIOR PORTFOLIO MANAGER / OWNER since Dec 2020 | 10–25% | Individual |
| GIBSON, NICHOLAS, SHAWN Control | SENIOR FINANCIAL PLANNER / OWNER since Dec 2020 | 10–25% | Individual |
| LEE, RICHARD, ROCHESTER Control | CHAIRMAN, CEO & FOUNDER since Sep 2010 | Less than 5% | Individual |
| LFC HOLDING CO. Control | OWNER since Mar 2016 | 10–25% | Domestic Entity |
| LUCKEY, WILLIAM, ALBERT Control | CHIEF FINANCIAL OFFICER since Feb 2020 | 10–25% | Individual |
| PETERS, DANIEL, SCOTT Control | SENIOR PORTFOLIO MANAGER / OWNER since Dec 2020 | 10–25% | Individual |
| STOLL, PATRICIA, GAMEZ Control | CHIEF COMPLIANCE OFFICER since Oct 2019 | Less than 5% | Individual |
| WILLIAMS, CHRISTINA, SUSANNE Control | PRESIDENT since Feb 2020 | 10–25% | Individual |
| BOYLES, JAIME, NICHOLE | DIRECTOR OF FINANCIAL PLANNING / OWNER since Jan 2023 | 5–10% | Individual |
| SHAE, BENJAMIN, SCOTT | DIRECTOR OF OPERATIONS AND CLIENT SERVICES / OWNER since Jan 2023 | 5–10% | Individual |
| LEE, RICHARD, ROCHESTER Control Indirect owner via LFC HOLDING CO. | ACTIVE since Mar 2016 | General partner, trustee or manager | Domestic Entity |
Ownership & leadership changes · 16 filings with changes since Mar 26, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 31, 2026 filing
- ChangedBOYCE, DANNY, RAY · now a control person
- ChangedGIBSON, NICHOLAS, SHAWN · now a control person
- ChangedLUCKEY, WILLIAM, ALBERT · title CHIEF FINANCIAL OFFICER / OWNER → CHIEF FINANCIAL OFFICER
- ChangedPETERS, DANIEL, SCOTT · now a control person
- ChangedSTOLL, PATRICIA, GAMEZ · title CHIEF COMPLIANCE OFFICER / OWNER → CHIEF COMPLIANCE OFFICER
- ChangedWILLIAMS, CHRISTINA, SUSANNE · title PRESIDENT / OWNER → PRESIDENT
Jul 11, 2025 filing
- AddedBOYLES, JAIME, NICHOLE · DIRECTOR OF FINANCIAL PLANNING / OWNER · 5–10%
- AddedSHAE, BENJAMIN, SCOTT · DIRECTOR OF OPERATIONS AND CLIENT SERVICES / OWNER · 5–10%
- ChangedSTOLL, PATRICIA, GAMEZ · title CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER / OWNER
Mar 30, 2023 filing
- ChangedBOYCE, DANNY, RAY · ownership 5–10% → 10–25%
- ChangedGIBSON, NICHOLAS, SHAWN · ownership 5–10% → 10–25%
- ChangedLEE, RICHARD, ROCHESTER · indirect via LFC HOLDING CO.: ownership 75% or more → General partner, trustee or manager
- ChangedLFC HOLDING CO. · ownership 50–75% → 10–25%
- ChangedLUCKEY, WILLIAM, ALBERT · ownership 5–10% → 10–25%
- ChangedPETERS, DANIEL, SCOTT · ownership 5–10% → 10–25%
- ChangedWILLIAMS, CHRISTINA, SUSANNE · ownership 5–10% → 10–25%
Aug 12, 2022 filing
- AddedGIBSON, NICHOLAS, SHAWN · SENIOR FINANCIAL PLANNER / OWNER · 5–10%
- AddedPETERS, DANIEL, SCOTT · SENIOR PORTFOLIO MANAGER / OWNER · 5–10%
- Listed againBOYCE, DANNY, RAY · SENIOR PORTFOLIO MANAGER / OWNER · 5–10%
- ChangedLFC HOLDING CO. · ownership 75% or more → 50–75%
- ChangedLUCKEY, WILLIAM, ALBERT · title CHIEF FINANCIAL OFFICER → CHIEF FINANCIAL OFFICER / OWNER; ownership Less than 5% → 5–10%
- ChangedWILLIAMS, CHRISTINA, SUSANNE · title PRESIDENT → PRESIDENT / OWNER; ownership Less than 5% → 5–10%
Jun 22, 2022 filing
- No longer listedWHIDBY, MARK, WENDALL · CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since May 2016
Jun 30, 2020 filing
- ChangedLEE, RICHARD, ROCHESTER · indirect via LFC HOLDING CO.: ownership 50–75% → 75% or more
Feb 28, 2020 filing
- No longer listedPINGENOT, DANA, LYNN · PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER · Less than 5% · control person · listed since Sep 2010
- AddedLUCKEY, WILLIAM, ALBERT · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- ChangedLEE, RICHARD, ROCHESTER · title CEO/FOUNDER/ADVISOR → CHAIRMAN, CEO & FOUNDER
- ChangedWILLIAMS, CHRISTINA, SUSANNE · title DIRECTOR OF FINANCIAL PLANNING → PRESIDENT
Nov 15, 2019 filing
- No longer listedTOLER, JULIE, ENSLEY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jun 2019
- AddedSTOLL, PATRICIA, GAMEZ · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Jul 3, 2019 filing
- No longer listedWALLACE, DUSTY, DAWN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Mar 2016
- AddedTOLER, JULIE, ENSLEY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Mar 28, 2018 filing
- AddedWHIDBY, MARK, WENDALL · CHIEF INVESTMENT OFFICER · Less than 5% · control person
- AddedWILLIAMS, CHRISTINA, SUSANNE · DIRECTOR OF FINANCIAL PLANNING · Less than 5% · control person
Older changes (7 more filings)
May 31, 2017 filing
- No longer listedRAMSEY, JEFFREY, ERIC · CHIEF OPERATIONS OFFICER · Less than 5% · control person · listed since Mar 2013
Apr 1, 2017 filing
- ChangedLEE, RICHARD, ROCHESTER · ownership 50–75% → Less than 5%
- ChangedPINGENOT, DANA, LYNN · ownership 10–25% → Less than 5%
Mar 30, 2016 filing
- No longer listedBOYCE, DANNY, RAY · SHAREHOLDER/SENIOR PORTFOLIO MANAGER · Less than 5% · listed since Dec 1999
- No longer listedOGDEN, SHIRLEY, ANN · SHAREHOLDER/INVESTMENT ANALYST · Less than 5% · listed since Mar 1994
- No longer listedQUINN, MARY, TERESA · SHAREHOLDER/CONSULTANT · 10–25% · listed since Mar 2015
- No longer listedRODRIGUEZ, EDUARDO · SHAREHOLDER/SENIOR FINANCIAL PLANNER · Less than 5% · listed since Jan 2001
- AddedLEE, RICHARD, ROCHESTER · ACTIVE · 50–75% · indirect via LFC HOLDING CO. · control person
- AddedLFC HOLDING CO. · OWNER · 75% or more · control person
- AddedWALLACE, DUSTY, DAWN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedRAMSEY, JEFFREY, ERIC · title CHIEF COMPLIANCE OFFICER /CHIEF OPERATIONS OFFICER → CHIEF OPERATIONS OFFICER; now a control person
Mar 27, 2015 filing
- ChangedQUINN, MARY, TERESA · title VICE PRESIDENT/TREASURER/SENIOR PORTFOLIO MANAGER → SHAREHOLDER/CONSULTANT; no longer a control person
Mar 27, 2014 filing
- ChangedBOYCE, DANNY, RAY · title INVESTMENT STRATEGIST/SHAREHOLDER → SHAREHOLDER/SENIOR PORTFOLIO MANAGER
- ChangedLEE, RICHARD, ROCHESTER · title CEO/FOUNDER/INVESTMENT STRATEGIST → CEO/FOUNDER/ADVISOR; ownership 75% or more → 50–75%
- ChangedOGDEN, SHIRLEY, ANN · title INVESTMENT STRATEGIST/SHAREHOLDER → SHAREHOLDER/INVESTMENT ANALYST
- ChangedPINGENOT, DANA, LYNN · title PRESIDENT/SECRETARY/CAPITAL STRATEGIST → PRESIDENT/SECRETARY/SENIOR FINANCIAL PLANNER
- ChangedQUINN, MARY, TERESA · title VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST → VICE PRESIDENT/TREASURER/SENIOR PORTFOLIO MANAGER
- ChangedRODRIGUEZ, EDUARDO · title SHAREHOLDER/CAPITAL STRATEGIST → SHAREHOLDER/SENIOR FINANCIAL PLANNER
Oct 18, 2013 filing
- No longer listedMIRES, KIRSTEN, ELAINE · CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST · Less than 5% · listed since Mar 2009
- ChangedRAMSEY, JEFFREY, ERIC · title CHIEF OPERATIONS OFFICER → CHIEF COMPLIANCE OFFICER /CHIEF OPERATIONS OFFICER
Mar 26, 2012 filing (earliest on record)
- ListedBOYCE, DANNY, RAY · INVESTMENT STRATEGIST/SHAREHOLDER · Less than 5%
- ListedLEE, RICHARD, ROCHESTER · CEO/FOUNDER/INVESTMENT STRATEGIST · 75% or more · control person
- ListedMIRES, KIRSTEN, ELAINE · CHIEF COMPLIANCE OFFICER/INVESTMENT ANALYST · Less than 5%
- ListedOGDEN, SHIRLEY, ANN · INVESTMENT STRATEGIST/SHAREHOLDER · Less than 5%
- ListedPINGENOT, DANA, LYNN · PRESIDENT/SECRETARY/CAPITAL STRATEGIST · 10–25% · control person
- ListedQUINN, MARY, TERESA · VICE PRESIDENT/TREASURER/INVESTMENT STRATEGIST · 10–25% · control person
- ListedRAMSEY, JEFFREY, ERIC · CHIEF OPERATIONS OFFICER · Less than 5%
- ListedRODRIGUEZ, EDUARDO · SHAREHOLDER/CAPITAL STRATEGIST · Less than 5%
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- ISHARES TR$16.8M +1912.4%
- APPLE INC$2.8M +15.0%
- MICROSOFT CORP$2.0M +39.0%
- NEWMONT CORP$1.0M +32.4%
- NVIDIA CORPORATION$757.9K +19.8%
Top Trims
- ISHARES TR-$5.2M -5.0%
- BERKSHIRE HATHAWAY INC DEL-$3.3M -10.2%
- SCHWAB STRATEGIC TR-$895.2K -7.7%
- ORACLE CORP-$447.6K -50.6%
- ESSENTIAL UTILS INC-$443.6K -42.9%
New Positions
- EXXONMOBIL HOLDINGS CORP$2.7M
- CROWDSTRIKE HLDGS INC$776.2K
- ISHARES TR$390.6K
- ISHARES TR$360.2K
- LEGACY HOUSING CORP$217.9K
Exited Positions
- EXXON MOBIL CORP$2.3M
- ONEOK INC NEW$1.9M
- INTERNATIONAL BUSINESS MACHS$453.7K
- J P MORGAN EXCHANGE TRADED F$377.1K
- VANGUARD INTL EQUITY INDEX F$366.9K
Lee Financial Co Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | ISHARES TR | IVV | 464287200 | $207.5M | 25.91% | 270,957 | SH |
| 2 | ISHARES TR | IJH | 464287507 | $97.9M | 12.22% | 1,360,132 | SH |
| 3 | SCHWAB STRATEGIC TR | FNDX | 808524771 | $69.2M | 8.64% | 2,198,333 | SH |
| 4 | ISHARES TR | IVW | 464287309 | $50.6M | 6.32% | 355,775 | SH |
| 5 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $29.5M | 3.68% | 59,183 | SH |
| 6 | FIRST TR EXCHANGE-TRADED FD | EMLP | 33738D101 | $28.9M | 3.60% | 704,316 | SH |
| 7 | SPDR GOLD TR | GLD | 78463V107 | $28.2M | 3.52% | 73,918 | SH |
| 8 | APPLE INC | AAPL | 037833100 | $21.2M | 2.64% | 63,588 | SH |
| 9 | INVESCO QQQ TR | QQQ | 46090E103 | $21.1M | 2.64% | 28,565 | SH |
| 10 | ISHARES TR | IJT | 464287887 | $17.7M | 2.21% | 110,407 | SH |
| 11 | SCHWAB STRATEGIC TR | FNDF | 808524755 | $11.7M | 1.46% | 218,131 | SH |
| 12 | ISHARES TR | SHV | 464288679 | $11.3M | 1.41% | 102,505 | SH |
| 13 | SCHWAB STRATEGIC TR | SCHM | 808524508 | $10.8M | 1.35% | 317,302 | SH |
| 14 | SCHWAB STRATEGIC TR | SCHX | 808524201 | $10.2M | 1.27% | 340,100 | SH |
| 15 | ISHARES TR | DVY | 464287168 | $7.2M | 0.90% | 47,288 | SH |
| 16 | ISHARES TR | IJR | 464287804 | $7.0M | 0.88% | 51,737 | SH |
| 17 | ISHARES TR | ACWI | 464288257 | $6.5M | 0.82% | 41,220 | SH |
| 18 | ISHARES TR | IWP | 464287481 | $5.1M | 0.64% | 37,260 | SH |
| 19 | MICROSOFT CORP | MSFT | 594918104 | $4.4M | 0.55% | 8,632 | SH |
| 20 | NVIDIA CORPORATION | NVDA | 67066G104 | $4.4M | 0.55% | 19,303 | SH |
| 21 | SELECT SECTOR SPDR TR | XLE | 81369Y506 | $4.2M | 0.53% | 68,885 | SH |
| 22 | NEWMONT CORP | NEM | 651639106 | $4.1M | 0.51% | 35,428 | SH |
| 23 | SCHWAB STRATEGIC TR | SCHA | 808524607 | $4.0M | 0.50% | 123,196 | SH |
| 24 | VANGUARD INDEX FDS | VTI | 922908769 | $3.8M | 0.47% | 10,042 | SH |
| 25 | SCHWAB STRATEGIC TR | SCHE | 808524706 | $3.5M | 0.44% | 95,863 | SH |
| 26 | DELL TECHNOLOGIES INC | DELL | 24703L202 | $3.2M | 0.39% | 5,879 | SH |
| 27 | MICROSOFT CORP | MSFT | 594918104 | $2.8M | 0.35% | 5,518 | SH |
| 28 | EXXONMOBIL HOLDINGS CORP | XOM | 30233Q108 | $2.7M | 0.34% | 16,796 | SH |
| 29 | PHILIP MORRIS INTL INC | PM | 718172109 | $2.5M | 0.32% | 13,355 | SH |
| 30 | ISHARES TR | IEFA | 46432F842 | $2.5M | 0.31% | 25,360 | SH |
| 31 | VANGUARD INDEX FDS | VOO | 922908363 | $2.3M | 0.29% | 3,344 | SH |
| 32 | AMAZON COM INC | AMZN | 023135106 | $2.3M | 0.28% | 9,096 | SH |
| 33 | TORTOISE CAPITAL SERIES TRUS | TNGY | 890930209 | $2.2M | 0.27% | 206,596 | SH |
| 34 | CITIZENS FINL GROUP INC | CFG | 174610105 | $2.1M | 0.27% | 33,573 | SH |
| 35 | BROADCOM INC | AVGO | 11135F101 | $2.1M | 0.26% | 5,989 | SH |
| 36 | ELI LILLY & CO | LLY | 532457108 | $1.9M | 0.24% | 1,680 | SH |
| 37 | SCHWAB STRATEGIC TR | SCHF | 808524805 | $1.9M | 0.24% | 70,529 | SH |
| 38 | SCHWAB STRATEGIC TR | FNDE | 808524730 | $1.9M | 0.24% | 45,769 | SH |
| 39 | ABBVIE INC | ABBV | 00287Y109 | $1.9M | 0.24% | 7,243 | SH |
| 40 | VANGUARD INDEX FDS | VB | 922908751 | $1.8M | 0.22% | 6,301 | SH |
| 41 | ISHARES TR | IGF | 464288372 | $1.8M | 0.22% | 29,002 | SH |
| 42 | MORGAN STANLEY | MS | 617446448 | $1.8M | 0.22% | 9,374 | SH |
| 43 | JPMORGAN CHASE & CO | JPM | 46625H100 | $1.7M | 0.21% | 5,096 | SH |
| 44 | JPMORGAN CHASE & CO | JPM | 46625H100 | $1.6M | 0.20% | 4,929 | SH |
| 45 | ISHARES TR | SCZ | 464288273 | $1.6M | 0.20% | 19,245 | SH |
| 46 | BROADCOM INC | AVGO | 11135F101 | $1.6M | 0.20% | 4,621 | SH |
| 47 | TEXAS INSTRS INC | TXN | 882508104 | $1.5M | 0.19% | 5,421 | SH |
| 48 | WALMART INC | WMT | 931142103 | $1.5M | 0.19% | 14,263 | SH |
| 49 | GENUINE PARTS CO | GPC | 372460105 | $1.5M | 0.18% | 11,735 | SH |
| 50 | COCA COLA CO | KO | 191216100 | $1.4M | 0.18% | 16,546 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-16 | $800.9M | 218 | 0001172661-26-004575 |
| 2026-06-30 | 2026-07-22 | $783.1M | 236 | 0001172661-26-002746 |
| 2026-03-31 | 2026-04-13 | $708.8M | 211 | 0001172661-26-001475 |
| 2025-12-31 | 2026-01-22 | $741.2M | 205 | 0001172661-26-000266 |
Filer Information
Address
8350 N. CENTRAL EXPRESSWAYSUITE 1800
DALLAS, TX 75206
Phone
(972) 960-1001
Filing Manager
Lee Financial Co
Dallas, TX
Signatory
Patricia Stoll
Chief Compliance Officer