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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

LAKE STREET ADVISORS, LLC

CRD 125471

PORTSMOUTH, NH

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:df573bcd-e6fd-2e66-d73b-a71ed1a9f9cb

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2013 to Mar 30, 2017
9 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: $2.7BItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $909M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 29
Advisory employees: 18
Accounts: 1,554
SEC number: 801-78869
CRD: 125471
Filings on the tape: 9
First filed: Nov 21, 2013
Latest filed: Mar 30, 2017
Organised: Limited Liability Company, New Hampshire

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
DECKER, CAROLYN, BUNTING RYAN	Member	A	yes	08/2009	Nov 21, 2013	Mar 30, 2017
DINSMORE, RICHARD, WILSON	CHIEF COMPLIANCE OFFICER	Na	yes	06/2014	Jun 23, 2014	Mar 30, 2017
GOYETTE, ROBERT, ARTHUR	MANAGER/MEMBER	C	yes	02/2003	Nov 21, 2013	Mar 30, 2017
VANSLYKE, GREG, ALAN	MANAGER/MEMBER	C	yes	02/2003	Nov 21, 2013	Mar 30, 2017

Offices

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

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	n/a	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
2016	Mar 28, 2017	$2.7B	$909M	29	18	n/a	n/a	n/a
2015	Mar 28, 2016	$1.8B	$566M	31	17	n/a	n/a	n/a
2014	Mar 25, 2015	$1.0B	$486M	28	11	n/a	n/a	n/a
2013	Mar 20, 2014	$267M	$266M	29	13	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
2016	$2.7B	$1.8B	46.3%	$267M	115.1%	29	31	n/a	n/a

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
LAKE STREET ADVISORS	7	Apr 20, 2017	Apr 25, 2017	PORTSMOUTH, NH	Firm absorbed	Other	100.0%

Relationships

Controls (4)

← GOYETTE, ROBERT, ARTHUROwnerMANAGER/MEMBER, ownership code C, individual
Nov 21, 2013 to presentfactForm ADV
← VANSLYKE, GREG, ALANOwnerMANAGER/MEMBER, ownership code C, individual
Nov 21, 2013 to presentfactForm ADV
← DECKER, CAROLYN, BUNTING RYANOwnerMEMBER, ownership code A, individual
Nov 21, 2013 to presentfactForm ADV
← DINSMORE, RICHARD, WILSONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 23, 2014 to presentfactForm ADV

Moved with (1)

→ LAKE STREET ADVISORSRegistered adviser7 advisors, firm absorbed, same day
Apr 20, 2017 to Apr 25, 2017factForm ADV

Registered with (13)

← CAROLYN BUNTING RYAN DECKERAdvisorregistration: previous registration
Mar 15, 2006 to Apr 20, 2017factForm ADV
← BEVERLY ANN RODRIGUEAdvisorregistration: previous registration
Jul 10, 2013 to Apr 20, 2017factForm ADV
← NORMAN EUGENE WEBBAdvisorregistration: previous registration
Oct 30, 2007 to Apr 20, 2017factForm ADV
← MELISSA OLSZAKAdvisorregistration: previous registration
Nov 2, 2004 to Apr 20, 2017factForm ADV
← DEBRA ANNE STOKESAdvisorregistration: previous registration
Mar 21, 2014 to Apr 20, 2017factForm ADV
← RACHAEL E BATORAdvisorregistration: previous registration
Aug 24, 2015 to Apr 20, 2017factForm ADV
← Matthew Robert KregerAdvisorregistration: previous registration
May 13, 2016 to Apr 20, 2017factForm ADV
← HARVEY ALAN SLAUGHTERAdvisorregistration: previous registration
Aug 29, 2014 to Feb 5, 2015factForm ADV
← JON-WESLEY AUSTIN DAVISAdvisorregistration: previous registration
Jun 29, 2010 to Jan 12, 2015factForm ADV
← SADIE DERINGER HOLDRIDGEAdvisorregistration: previous registration
Aug 18, 2009 to Feb 3, 2014factForm ADV
← JOHN JEHLE EDWARDSAdvisorregistration: previous registration
Dec 5, 2008 to Sep 5, 2013factForm ADV
← JUDITH LYNN ROWLANDAdvisorregistration: previous registration
Feb 15, 2012 to Sep 3, 2013factForm ADV
← ROBERT ESTEL COPELANDAdvisorregistration: previous registration
Jan 30, 2009 to Jul 13, 2009factForm ADV

Dated events

Occurred
Nov 21, 2013
First Form ADV filing
Lake Street Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df573bcd-e6fd-2e66-d73b-a71ed1a9f9cb
First observed: Nov 21, 2013
Last observed: Mar 30, 2017 115 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.

LAKE STREET ADVISORS, LLC

CRD 125471

PORTSMOUTH, NH

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:df573bcd-e6fd-2e66-d73b-a71ed1a9f9cb

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:38 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DECKER, CAROLYN, BUNTING RYAN

Member

yes

08/2009

Nov 21, 2013

Mar 30, 2017

DINSMORE, RICHARD, WILSON

CHIEF COMPLIANCE OFFICER

yes

06/2014

Jun 23, 2014

Mar 30, 2017

GOYETTE, ROBERT, ARTHUR

MANAGER/MEMBER

yes

02/2003

Nov 21, 2013

Mar 30, 2017

VANSLYKE, GREG, ALAN

MANAGER/MEMBER

yes

02/2003

Nov 21, 2013

Mar 30, 2017

City

State

Country

Employees

Also broker-dealer

Boston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 28, 2017

$2.7B

$909M

n/a

2015

Mar 28, 2016

$1.8B

$566M

n/a

2014

Mar 25, 2015

$1.0B

$486M

n/a

2013

Mar 20, 2014

$267M

$266M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$2.7B

$1.8B

46.3%

$267M

115.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LAKE STREET ADVISORS

Apr 20, 2017

Apr 25, 2017

PORTSMOUTH, NH

Firm absorbed

Other

100.0%