LAU ASSOCIATES LLC

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Also known as:

  • LAUOLMSTEAD LLC
  • LAU & ASSOCIATES LTD

LAU Associates is based out of Greenville. LAU Associates is a large advisory firm with 161 clients and discretionary assets under management (AUM) of $650,000,000 (Form ADV from 2018-12-01). Their last reported 13F filing for Q3 2019 included $189,005,000 in managed 13F securities and a top 10 holdings concentration of 51.18%. LAU Associates's largest holding is JPMorgan Ultra-Short Income ETF with shares held of 622,472. LAU Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 68 13F filings

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68

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $189.005 Million
  • Prior Market Value $209.168 Million
  • New Purchases8 stocks
  • Additional Purchases16 stocks
  • Sold out of5 stocks
  • Reduced holdings in50 stocks
  • Top 10 Holdings % 51.18 %
  • Turnover % [1]:13.54%
  • Turnover Alt % [2]: 17.77 %
  • Time Held Top20:24.85 quarters
  • Time Held Top10:23.00 quarters
  • Time Held All:21.06 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.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 2.72%
Performance Last 4 Quarters: 5.97%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

LAU ASSOCIATES LLC
20 MONTCHANIN ROAD SUITE 110
GREENVILLE DE    19807
Country: United States

Business Phone: 302-792-5955
Fax: 302-792-1833
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 11
Other Business Activities:
Advisor Fees/Compensation: Fixed fees
Amount of client funds and securities: 315,400,000
Total Number of Clients: 161
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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LAU ASSOCIATES LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
BRYN MAWR BANK CORPORATION SOLE MEMBER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC SOLE MEMBER OF JNJ HOLDINGS LLC indirect 2008-07-01
LAU ASSOCIATES LLC SOLE MEMBER direct 2008-07-01
PERRY CREEK CAPITAL LP SHAREHOLDER indirect 2008-08-01
BMT INVESTMENT ADVISERS SHAREHOLDER direct 2017-05-01
PETERSON, LUCINDA, LEA CHIEF FINANCIAL OFFICER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC TREASURER AND MANAGER direct 2008-11-01
LAU ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2008-11-01
WEAVER, JACOB, DORSEY PRESIDENT 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC PRESIDENT direct 2016-01-01
WEARY, THOMAS, MARTIN CHIEF INVESTMENT OFFICER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CCO direct 2000-09-01
GRANGER, LAURA, DAVLIN CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01

LAU ASSOCIATES LLC

ownership team - last updated 2017-03-29
Name Title Start Date Direct/Indirect % Ownership
LAU, JUDITH, WISDOM FOUNDER 04/01/1985 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC FOUNDER direct 1985-04-01
WILMINGTON CAPITAL ADVISORS LLC CCO, PRESIDENT direct 2005-04-01
LAU & ASSOCIATES LTD PRESIDENT direct 1985-05-01 2005-08-31
LAU ASSOCIATES LLC SOLE SHAREHOLDER indirect 1985-01-01 2006-02-16
LAU ASSOCIATES LLC SOLE SHAREHOLDER indirect 2003-04-01 2008-03-27
LAU ASSOCIATES LLC PRESIDENT AND MANAGER direct 2008-07-01 2015-12-10
LAU ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2004-10-01 2016-09-29
BRYN MAWR BANK CORPORATION SOLE MEMBER 07/01/2008 Direct 75% or more
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC SOLE MEMBER OF JNJ HOLDINGS LLC indirect 2008-07-01
LAU ASSOCIATES LLC SOLE MEMBER direct 2008-07-01
PERRY CREEK CAPITAL LP SHAREHOLDER indirect 2008-08-01
BMT INVESTMENT ADVISERS SHAREHOLDER direct 2017-05-01
PETERSON, LUCINDA, LEA CHIEF FINANCIAL OFFICER 11/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC TREASURER AND MANAGER direct 2008-11-01
LAU ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2008-11-01
RUEDA, JORGE, RAMON CHIEF EXECUTIVE OFFICER 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF EXECUTIVE OFFICER direct 2011-09-01
WEAVER, JACOB, DORSEY PRESIDENT 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC PRESIDENT direct 2016-01-01
WEARY, THOMAS, MARTIN CHIEF INVESTMENT OFFICER 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF INVESTMENT OFFICER direct 2011-03-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2000-09-01
DIAMOND PORTFOLIO ADVISORS, LLC PRESIDENT & CEO/CCO direct 2000-09-01
GRANGER, LAURA, DAVLIN CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
LAU ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2017-03-01

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