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Frank Lee

Chief Administrative Officer at Kayne Anderson Rudnick Investment Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Frank Lee is Chief Administrative Officer of Kayne Anderson Rudnick Investment Management, LLC, a Los Angeles investment adviser managing $39.4B. Frank Lee has a current broker registration and no current investment-adviser registration and has passed the Series 6, Series 63, Series 7 and SIE.

Role at Kayne Anderson Rudnick Investment Management

Title on Schedule A
Chief Administrative Officer
Control
Frank Lee is a control person of Kayne Anderson Rudnick Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Frank Lee has held the filed role since March 2022.

The firm

Kayne Anderson Rudnick Investment Management, LLC
Los Angeles, CA

Form ADV filed 27 March 2026

$39.4B AUM24,735 clients47 advisers23 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7 · 1999
  3. Passed Series 63 · 1994
  4. Passed Series 6 · 1993

Registrations and exams

Broker registration; no current adviser registration. Frank Lee has passed 4 qualifying exams.

Examinations

Series 6326 January 1994
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 77 July 1999
Name
General Securities Representative Examination
Series 628 December 1993
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Frank Lee
CRD
2409473
Firm
Kayne Anderson Rudnick Investment Management, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Frank Lee work?

Frank Lee has been Chief Administrative Officer of Kayne Anderson Rudnick Investment Management, LLC since March 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Does Frank Lee have a current investment-adviser registration?

Frank Lee has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Frank Lee passed?

Frank Lee has passed 4 licensing exams: the Series 6, Series 63, Series 7 and SIE. The earliest, the Series 6, was passed in December 1993.

Source: IAPD individual record, checked 17 October 2026

Leadership at Kayne Anderson Rudnick Investment Management

  • George Aylward
    President and Chief Executive Officer, Virtus Investment Partners, and Management Committee Member
  • Michael Angerthal
    Executive Vice President and Chief Financial Officer, Virtus Investment Partners
  • Andra Purkalitis
    Executive Vice President and Chief Legal Officer, Virtus Investment Partners
  • Jeannine Vanian
    Chief Operating Officer, Management Committee Member
  • Michael Shoemaker
    Chief Compliance Officer
  • Stephen Rigali
    Executive Managing Director, Management Committee Member
  • Craig Stone
    Chief Investment Officer, Management Committee Member

Sources

  1. IAPD individual record, CRD 2409473. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Kayne Anderson Rudnick Investment Management, LLC, filed 27 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Frank Lee or Kayne Anderson Rudnick Investment Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.