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LAKE ROAD ADVISORS, LLC

CORNING, NY · CRD 281657 · IAPD ↗ · (607) 438-2914

$98.8MRegulatory AUM
2Advisory reps
2Employees
15Clients
101-250Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
February 2026 — LAKE ROAD ADVISORS, LLC reported RAUM up 26% ($78.1M -> $98.8M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
64
February 2026 — LAKE ROAD ADVISORS, LLC reports 101-250 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
42
February 2025 — LAKE ROAD ADVISORS, LLC notice-filed in NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
January 2025 — LAKE ROAD ADVISORS, LLC notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
42
November 2024 — LAKE ROAD ADVISORS, LLC notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
November 2024 — LAKE ROAD ADVISORS, LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.