LAKE STREET FINANCIAL LLC

HTTP://WWW.LAKEST.COM CHICAGO, IL Investment Advisor How do I update this listing?

Lake Street Financial is based out of Chicago. Lake Street Financial is a large advisory firm with 300 clients and discretionary assets under management (AUM) of $356,653,933 (Form ADV from 2020-01-14). Their last reported 13F filing for Q1 2020 included $219,593,000 in managed 13F securities and a top 10 holdings concentration of 30.48%. Lake Street Financial's largest holding is Apple Inc with shares held of 54,997. Whalewisdom has at least 5 13F filings

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03/31/2020

13F Activity

  • Market Value $219.593 Million
  • Prior Market Value $261.082 Million
  • New Purchases14 stocks
  • Additional Purchases74 stocks
  • Sold out of37 stocks
  • Reduced holdings in50 stocks
  • Top 10 Holdings % 30.48 %
  • Turnover % [1]:36.17%
  • Turnover Alt % [2]: 19.82 %
  • Time Held Top20:2.40 quarters
  • Time Held Top10:2.80 quarters
  • Time Held All:2.91 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 24.88%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

LAKE STREET
128 N. MAY STREET FLOOR 2
CHICAGO IL    60607
Country: United States

Business Phone: 312-579-4341
Fax: 312-275-7601
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: IL
Number of employees: 6
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 300
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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LAKE STREET FINANCIAL, LLC

ownership team - last updated 2020-01-14
Name Title Start Date Direct/Indirect % Ownership

LAKE STREET FINANCIAL, LLC

ownership team - last updated 2019-12-02
Name Title Start Date Direct/Indirect % Ownership
TERZO, JUSTIN, MICHAEL CHIEF INVESTMENT OFFICER 04/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF INVESTMENT OFFICER direct 2018-04-01
STOCK, JOSEPH, D CHIEF COMPLIANCE OFFICER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-04-01

LAKE STREET FINANCIAL, LLC

ownership team - last updated 2019-05-17
Name Title Start Date Direct/Indirect % Ownership
TERZO, JUSTIN, MICHAEL CHIEF INVESTMENT OFFICER 04/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF INVESTMENT OFFICER direct 2018-04-01
STOCK, JOSEPH, D CHIEF COMPLIANCE OFFICER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-04-01

LAKE STREET FINANCIAL, LLC

ownership team - last updated 2019-02-22
Name Title Start Date Direct/Indirect % Ownership
TERZO, JUSTIN, MICHAEL CHIEF INVESTMENT OFFICER 04/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF INVESTMENT OFFICER direct 2018-04-01
STOCK, JOSEPH, D CHIEF COMPLIANCE OFFICER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-04-01

LAKE STREET FINANCIAL, LLC

ownership team - last updated 2018-05-16
Name Title Start Date Direct/Indirect % Ownership
TERZO, JUSTIN, MICHAEL CHIEF INVESTMENT OFFICER 04/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF INVESTMENT OFFICER direct 2018-04-01
STOCK, JOSEPH, D CHIEF COMPLIANCE OFFICER 04/01/2018 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
LAKE STREET FINANCIAL, LLC CHIEF COMPLIANCE OFFICER direct 2018-04-01

LAKE STREET ADVISORS, LLC

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
GOYETTE, ROBERT, ARTHUR MANAGER/MEMBER 02/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LAKE STREET ADVISORS, LLC MANAGER/MEMBER/CHIEF COMPLIANCE OFFICER direct 2003-02-01
LAKE STREET ADVISORS, LLC MANAGER/MEMBER direct 2003-02-01
LAKE STREET ADVISORS GROUP, LLC MANAGER direct 2017-04-01
VANSLYKE, GREG, ALAN MANAGER/MEMBER 02/01/2003 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
LAKE STREET ADVISORS, LLC MANAGER/MEMBER direct 2003-02-01
LAKE STREET ADVISORS GROUP, LLC MANAGER direct 2017-04-01
DECKER, CAROLYN, BUNTING RYAN MEMBER 08/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
LAKE STREET ADVISORS, LLC MEMBER direct 2009-08-01
LAKE STREET ADVISORS GROUP, LLC MANAGER direct 2017-04-01
DINSMORE, RICHARD, WILSON CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
TANAGER FINANCIAL SERVICES INC CCO direct 2003-12-01
LAKE STREET ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
CALIBRE ADVISORY SERVICES, INC. CHIEF COMPLIANCE OFFICER direct 2004-11-01
LAKE STREET ADVISORS GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01

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