Leslie J. Lammers

RIVERSTONE ADVISORS

NEW BRAUNFELS, TX

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CRD#: 2287680

Professional summary

Leslie Jean Lammers, CFA is a registered financial advisor currently at RIVERSTONE ADVISORS, LLC located in New Braunfels, Texas.

Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Leslie has worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Jean Lammers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

March 19, 2004 - Present

RIVERSTONE ADVISORS, LLC

RIA

CRD#: 130346

NEW BRAUNFELS, TX

Past

August 7, 2001 - November 8, 2006

MORSE WILLIAMS & CO. INC.

RIA

CRD#: 106011

NEW YORK, NY

Past

October 23, 1992 - October 10, 1997

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RIVERSTONE ADVISORS, LLC

CRD#: 130346 / SEC#: 801-62778

RIA

Registered Investment Advisory firm - (2/12/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(3/19/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/15/1993

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/5/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/21/1992

General Securities Representative Examination

Current Firm

RIVERSTONE ADVISORS, LLC

CRD#: 130346 / SEC#: 801-62778

RIA

Registered Investment Advisory firm - (2/12/2004 Approved)

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Contact information

Main Address

New Braunfels, TX

Mailing Address

Phone number

(914) 722-1700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVERSTONE DISCLOSURE BROCHURE AND SUPPLEMENTS (3/10/2025)

Regulatory assets under management

Total Number of Accounts	461
AUM (Assets Under Management)	$ 390,163,096

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/22/2025	Cover Page	Report
10/04/2024	Cover Page	Report
10/19/2023	Cover Page	Report
12/13/2022	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Leslie J. Lammers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Jean Lammers's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVERSTONE ADVISORS, LLC

MORSE WILLIAMS & CO. INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

RIVERSTONE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/1993

Series 65

Date: 4/5/1993

Series 7

Date: 10/21/1992

Current Firm

RIVERSTONE ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RIVERSTONE ADVISORS, LLC

TRUST BUT VERIFY

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