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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

LAU ASSOCIATES LLC

CRD 105608

GREENVILLE, DE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:38d6ff9e-bc53-9f52-0f5e-eaa2e9a5cc92

Data as of Oct 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to Oct 29, 2019
22 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $650MItem 5.F on the latest filing (2019-10-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $650M
Private client RAUM: $650MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 161
Individual clients: 48
High net worth clients: 113
Custody, client assets: $315M
SEC number: 801-24354
CRD: 105608
Filings on the tape: 22
First filed: Mar 30, 2012
Latest filed: Oct 29, 2019
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BRYN MAWR BANK CORPORATION	SOLE MEMBER	E	yes	07/2008	Mar 30, 2012	Oct 29, 2019
PETERSON, LUCINDA, LEA	CHIEF FINANCIAL OFFICER	Na	yes	11/2008	Mar 30, 2012	Oct 29, 2019
WELLMAN, STEPHEN, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	07/2019	Jul 22, 2019	Oct 29, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BRYN MAWR BANK CORPORATION	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Berwyn	Pa	United States	3	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 27, 2019	$650M	$650M	11	4	1	n/a	n/a
2017	Mar 16, 2018	$637M	$637M	13	6	1	n/a	n/a
2016	Mar 29, 2017	$521M	$521M	13	5	n/a	n/a	n/a
2015	Mar 24, 2016	$495M	$495M	13	5	n/a	n/a	n/a
2014	Mar 24, 2015	$532M	$532M	12	4	n/a	n/a	n/a
2013	Mar 25, 2014	$525M	$525M	13	5	n/a	n/a	n/a
2012	Mar 26, 2013	$515M	$515M	13	5	n/a	n/a	n/a
2011	Mar 30, 2012	$510M	$510M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$650M	$637M	2.0%	$495M	9.5%	7	13	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BRYN MAWR TRUST ADVISORS, LLC	3	Jan 8, 2020	Jul 6, 2023	GREENVILLE, DE	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← WELLMAN, STEPHEN, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 22, 2019 to presentfactForm ADV
← PETERSON, LUCINDA, LEAOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← BRYN MAWR BANK CORPORATIONOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Moved with (1)

→ BRYN MAWR TRUST ADVISORS, LLCRegistered adviser3 advisors, firm absorbed, same day
Jan 8, 2020 to Jul 6, 2023factForm ADV

Registered with (5)

← JOEL RICHARD MORRISAdvisorregistration: previous registration
Jul 9, 2015 to Jan 8, 2020factForm ADV
← MICHAEL GEORGE PAREGIANAdvisorregistration: previous registration
Aug 4, 2017 to Jan 8, 2020factForm ADV
← LUCINDA LEA PETERSONAdvisorregistration: previous registration
Aug 12, 2005 to Jan 8, 2020factForm ADV
← JACOB DORSEY WEAVERAdvisorregistration: previous registration
Jun 23, 2004 to Nov 8, 2019factForm ADV
← JAMES HAROLD LEEAdvisorregistration: previous registration
Jan 1, 1998 to May 24, 2011factForm ADV

Dated events

Occurred
Oct 29, 2019
Control person left
Dorsey Jacob Weaver (President) no longer on Schedule A of Lau Associates Llc (listed 2019-07-22, absent 2019-10-29)
Form ADVobserved 5 days ago
Occurred
Jul 22, 2019
Control person joined
Michael Stephen Wellman (Chief Compliance Officer) appeared on Schedule A of Lau Associates Llc
Form ADVobserved 5 days ago
Occurred
Jul 22, 2019
Control person left
Martin Thomas Weary (Chief Investment Officer) no longer on Schedule A of Lau Associates Llc (listed 2019-03-27, absent 2019-07-22)
Form ADVobserved 5 days ago
Occurred
Jul 22, 2019
Control person left
Davlin Laura Granger (Chief Compliance Officer) no longer on Schedule A of Lau Associates Llc (listed 2019-03-27, absent 2019-07-22)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2019
Control person left
Wisdom Judith Lau (Founder) no longer on Schedule A of Lau Associates Llc (listed 2018-03-16, absent 2019-03-27)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38d6ff9e-bc53-9f52-0f5e-eaa2e9a5cc92
First observed: Mar 30, 2012
Last observed: Oct 29, 2019 83 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LAU ASSOCIATES LLC

CRD 105608

GREENVILLE, DE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:38d6ff9e-bc53-9f52-0f5e-eaa2e9a5cc92

Data as of Oct 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:41 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRYN MAWR BANK CORPORATION

SOLE MEMBER

yes

07/2008

Mar 30, 2012

Oct 29, 2019

PETERSON, LUCINDA, LEA

CHIEF FINANCIAL OFFICER

yes

11/2008

Mar 30, 2012

Oct 29, 2019

WELLMAN, STEPHEN, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

07/2019

Jul 22, 2019

Oct 29, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRYN MAWR BANK CORPORATION

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Berwyn

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 27, 2019

$650M

n/a

2017

Mar 16, 2018

$637M

n/a

2016

Mar 29, 2017

$521M

n/a

2015

Mar 24, 2016

$495M

n/a

2014

Mar 24, 2015

$532M

n/a

2013

Mar 25, 2014

$525M

n/a

2012

Mar 26, 2013

$515M

n/a

2011

Mar 30, 2012

$510M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$650M

$637M

2.0%

$495M

9.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BRYN MAWR TRUST ADVISORS, LLC

Jan 8, 2020

Jul 6, 2023

GREENVILLE, DE

Firm absorbed

RIA to RIA

100.0%