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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

LOMBARD ADVISERS INCORPORATED

CRD 108231

BALTIMORE, MD

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:58c5d3e4-0149-59f1-0d80-0e55fd2cf1ce

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 50
Dated events: 10
On other graphs: 0
Observed: Mar 11, 2019 to Mar 27, 2026
19 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: independent wealth managerderivedprivate_client_share=0.76 fund_share=0.0 institutional_share=0.24 related_bd=true related_bank=false bd_reps=32.0
Regulatory AUM: $670MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $245M
Private client RAUM: $511MderivedItem 5.D individuals plus high net worth individuals
Private client share: 76%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 32
RAUM per advisor: $20.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 41
Advisory employees: 30
Offices: 23Schedule D 1.F, beyond the principal office
Accounts: 1,456
Individual clients: 867
High net worth clients: 74
SEC number: 801-114981
CRD: 108231
Filings on the tape: 19
First filed: Mar 11, 2019
Latest filed: Mar 27, 2026
Organised: Corporation, MD
Website: golombard.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 32

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
EDWIN MAJOR REYNOLDS	n/a	BALTIMORE, MD	26	45	n/a	yes
GARY ALLEN KING	n/a	Poinciana, FL \| ERIE, PA	25	44	n/a	yes
RAYMOND BALLARD HARRISON	n/a	BALTIMORE, MD \| Annapolis, MD	22	38	1	yes
THOMAS STEPHEN WALLS	n/a	BALTIMORE, MD \| PLYMOUTH MEETING, PA	21	45	n/a	yes
GARY CLEVELAND COLLIER	n/a	BALTIMORE, MD \| Radford, VA	18	46	1	yes
EDWARD DAVID SONNIER	n/a	JENNINGS, LA	17	30	n/a	yes
DON ANDREW PRICE	n/a	Radford, VA \| BALTIMORE, MD	17	27	2	yes
DONALD EUGENE OATES	Chartered Financial Consultant	HAMPSTEAD, MD	13	39	n/a	yes
PERCY LEMAR HUNDLEY	n/a	NEWPORT NEWS, VA	11	45	2	yes
CHARLES M JENKINS	n/a	Pittsburgh, PA \| BALTIMORE, MD	10	27	2	yes
DAVID FREDERICK GUENSCH	n/a	Allentown, PA \| BALTIMORE, MD	10	30	3	yes
STEPHEN HARLOWE PRINDLE	n/a	York, PA \| BALTIMORE, MD	9	11	2	yes
FRANK DOMINIC CORTO	n/a	BALTIMORE, MD \| York, PA \| Tampa, FL	9	31	3	no
HARVEY CLIFFORD BYRD	n/a	BALTIMORE, MD \| Lutherville, MD	8	20	2	yes
Jon Mark Dabareiner	Chartered Financial Consultant	BALTIMORE, MD \| HARDY, VA	8	37	2	no
Brent Alan kochel	n/a	ANNA, IL	7	14	n/a	yes
Arthur Graig Gallo	Certified Financial Planner	BALTIMORE, MD \| YORK, PA	7	12	n/a	yes
KENNETH RAYMOND KIRKEBY	n/a	BALTIMORE, MD \| Bridgeport, TX	6	42	7	yes
MARILYN LEJEUNE WATKINS	n/a	BALTIMORE, MD \| Jennings, LA	5	22	1	yes
CARRIE LYNN BUSSE	n/a	CHILLICOTHE, MO \| BALTIMORE, MD	4	25	3	yes
MICHAEL PRESTON COX	n/a	MATTHEWS, NC \| BALTIMORE, MD	4	42	1	yes
JAMES L JOHNSON	n/a	BALTIMORE, MD \| MATHEWS, NC	4	32	1	yes
Joseph Matthew Sutphin	n/a	Radford, VA \| BALTIMORE, MD	4	13	n/a	yes
PETER GRAHAM WILKINSON	n/a	York, PA \| BALTIMORE, MD	3	27	1	no
RICHARD ALAN FOGAL	n/a	Allentown, PA \| BALTIMORE, MD	3	15	1	yes

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
DONLAN WELKER, TERRY, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2024	Nov 20, 2024	Nov 20, 2024
FOX, CHARLES, CURTIS	CHIEF EXECUTIVE OFFICER	Na	yes	01/2007	Mar 11, 2019	Nov 20, 2024
LOMBARD SECURITIES INCORPORATED	100% OWNER OF LOMBARD ADVISERS INCORPORATED	E	yes	08/1994	Mar 11, 2019	Nov 20, 2024
SOCHA, WILLIAM, STEPHEN	CHIEF FINANCIAL OFFICER	Na	yes	11/2000	Mar 11, 2019	Nov 20, 2024

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
LOMBARD AGENCY	n/a	n/a	n/a	N	yes	n/a
LOMBARD SECURITIES INCORPORATED	n/a	n/a	n/a	Y	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
York	Pa	United States	4	yes
Jennings	La	United States	3	yes
Radford	Va	United States	3	yes
Mathews	Nc	United States	2	yes
Poinciana	FL	United States	1	yes
Anna	IL	United States	1	yes
Jefferson	Md	United States	1	yes
Chillicothe	Mo	United States	1	yes
Charlotte	Nc	United States	1	yes
Allentown	Pa	United States	1	yes
PLYMOUTH MEETING	Pa	United States	1	yes
Bridgeport	TX	United States	1	yes
Hardy	Va	United States	1	no
NEWPORT NEWS	Va	United States	1	yes
Tazewell	Va	United States	1	yes
n/a	n/a	n/a	1	yes

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
2025	Mar 27, 2026	$670M	$245M	41	30	23	n/a	n/a
2024	Mar 27, 2025	$567M	$199M	42	31	25	n/a	n/a
2023	Mar 27, 2024	$366M	$168M	44	33	21	n/a	n/a
2022	Mar 30, 2023	$258M	$130M	43	32	21	n/a	n/a
2021	Mar 30, 2022	$255M	$108M	44	35	25	n/a	n/a
2020	Mar 30, 2021	$202M	$84.1M	42	32	23	n/a	n/a
2019	Apr 30, 2020	$158M	$69.3M	41	32	24	n/a	n/a
2018	Mar 26, 2019	$113M	$51.3M	38	29	22	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	3.1%	0	1	0	4	6

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
2025	$670M	$567M	18.0%	$258M	37.5%	41	42	23	25

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SB ADVISORY, LLC	2	Apr 7, 2017	Apr 25, 2017	ATLANTA, GA	Team lift out	Other	6.3%

Relationships

Registered with (45)

← LYNDSEY Marie MICHELSENAdvisorregistration: current employment
Jun 30, 2026 to presentfactForm ADV
← LAWRENCE IRA REITARSAdvisorregistration: current employment
Jan 27, 2026 to presentfactForm ADV
← Joseph Carl SonnierAdvisorregistration: current employment
May 20, 2025 to presentfactForm ADV
← Brian Lee SlagleAdvisorregistration: current employment
Jan 3, 2025 to presentfactForm ADV
← JOHNNY G BROWNAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← STEVEN ROBERT SWITLICKAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← LESLIE MARVIN BOYCEAdvisorregistration: current employment
Dec 4, 2024 to presentfactForm ADV
← RICHARD ALAN FOGALAdvisorregistration: current employment
Apr 5, 2023 to presentfactForm ADV
← PETER GRAHAM WILKINSONAdvisorregistration: current employment
Feb 28, 2023 to presentfactForm ADV
← Joseph Matthew SutphinAdvisorregistration: current employment
Jul 14, 2022 to presentfactForm ADV
← MICHAEL PRESTON COXAdvisorregistration: current employment
Apr 21, 2022 to presentfactForm ADV
← JAMES L JOHNSONAdvisorregistration: current employment
Apr 21, 2022 to presentfactForm ADV
← CARRIE LYNN BUSSEAdvisorregistration: current employment
Nov 8, 2021 to presentfactForm ADV
← MARILYN LEJEUNE WATKINSAdvisorregistration: current employment
Jan 7, 2021 to presentfactForm ADV
← KENNETH RAYMOND KIRKEBYAdvisorregistration: current employment
Sep 16, 2020 to presentfactForm ADV
← Arthur Graig GalloAdvisorregistration: current employment
Jun 11, 2019 to presentfactForm ADV
← Brent Alan kochelAdvisorregistration: current employment
Apr 12, 2019 to presentfactForm ADV
← Jon Mark DabareinerAdvisorregistration: current employment
Sep 18, 2018 to presentfactForm ADV
← HARVEY CLIFFORD BYRDAdvisorregistration: current employment
Jun 21, 2018 to presentfactForm ADV
← FRANK DOMINIC CORTOAdvisorregistration: current employment
Apr 25, 2017 to presentfactForm ADV
← STEPHEN HARLOWE PRINDLEAdvisorregistration: current employment
Apr 21, 2017 to presentfactForm ADV
← DAVID FREDERICK GUENSCHAdvisorregistration: current employment
Jul 20, 2016 to presentfactForm ADV
← CHARLES M JENKINSAdvisorregistration: current employment
Feb 8, 2016 to presentfactForm ADV
← PERCY LEMAR HUNDLEYAdvisorregistration: current employment
Nov 10, 2014 to presentfactForm ADV
← DONALD EUGENE OATESAdvisorregistration: current employment
Mar 27, 2013 to presentfactForm ADV
← DON ANDREW PRICEAdvisorregistration: current employment
Jun 1, 2009 to presentfactForm ADV
← EDWARD DAVID SONNIERAdvisorregistration: current employment
May 5, 2009 to presentfactForm ADV
← GARY CLEVELAND COLLIERAdvisorregistration: current employment
Sep 24, 2007 to presentfactForm ADV
← THOMAS STEPHEN WALLSAdvisorregistration: current employment
Apr 8, 2005 to presentfactForm ADV
← RAYMOND BALLARD HARRISONAdvisorregistration: current employment
May 27, 2004 to presentfactForm ADV
and 15 more

Controls (4)

← FOX, CHARLES, CURTISOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 11, 2019 to Nov 20, 2024factForm ADV
← LOMBARD SECURITIES INCORPORATEDOwner100% OWNER OF LOMBARD ADVISERS INCORPORATED, ownership code E, domestic entity
Mar 11, 2019 to Nov 20, 2024factForm ADV
← DONLAN WELKER, TERRY, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 20, 2024 to Nov 20, 2024factForm ADV
← SOCHA, WILLIAM, STEPHENOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 11, 2019 to Nov 20, 2024factForm ADV

Moved with (1)

← SB ADVISORY, LLCRegistered adviser2 advisors, team lift out
Apr 7, 2017 to Apr 25, 2017factForm ADV

Dated events

Occurred
Aug 31, 2026
Advisor changed firm
William Charles Fox left Lombard Advisers Incorporated for Lpl Financial Llc (registered 2026-09-02)
Form ADVobserved 5 days ago
Occurred
Jul 28, 2025
Advisor changed firm
Brandon Reed Croxton left Lombard Advisers Incorporated for Brc Financial Planning (registered 2025-07-29)
Form ADVobserved 5 days ago
Occurred
May 29, 2025
Advisor changed firm
Jack A. Heil left Lombard Advisers Incorporated for Planmember Securities Corporation (registered 2025-05-28)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2025
Regulatory AUM changed
Lombard Advisers Incorporated reported RAUM $567.4M, up 55% from $366.4M (2024-11-20 to 2025-03-27)
Form ADVobserved 5 days ago
$201M
Occurred
Dec 31, 2024
Advisor changed firm
Kamran Richard left Lombard Advisers Incorporated for J.P. Morgan Securities Llc (registered 2025-01-08)
Form ADVobserved 5 days ago
Occurred
Nov 20, 2024
Control person joined
Lynn Terry Donlan Welker (Chief Compliance Officer) appeared on Schedule A of Lombard Advisers Incorporated
Form ADVobserved 5 days ago
Occurred
Jun 24, 2024
Advisor changed firm
Jeffrey Darrin Murray left Lombard Advisers Incorporated for Lpl Financial Llc (registered 2024-06-21)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2024
Regulatory AUM changed
Lombard Advisers Incorporated reported RAUM $366.4M, up 42% from $257.7M (2023-11-09 to 2024-03-27)
Form ADVobserved 5 days ago
$109M
Occurred
Oct 4, 2023
Advisor changed firm
Syed Abdul Rumin left Lombard Advisers Incorporated for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-10-30)
Form ADVobserved 5 days ago
Occurred
Mar 11, 2019
First Form ADV filing
Lombard Advisers Incorporated filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58c5d3e4-0149-59f1-0d80-0e55fd2cf1ce
First observed: Mar 11, 2019
Last observed: Mar 27, 2026 5 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.

LOMBARD ADVISERS INCORPORATED

CRD 108231

BALTIMORE, MD

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:58c5d3e4-0149-59f1-0d80-0e55fd2cf1ce

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:16 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

EDWIN MAJOR REYNOLDS

n/a

BALTIMORE, MD

n/a

yes

GARY ALLEN KING

n/a

Poinciana, FL | ERIE, PA

n/a

yes

RAYMOND BALLARD HARRISON

n/a

BALTIMORE, MD | Annapolis, MD

yes

THOMAS STEPHEN WALLS

n/a

BALTIMORE, MD | PLYMOUTH MEETING, PA

n/a

yes

GARY CLEVELAND COLLIER

n/a

BALTIMORE, MD | Radford, VA

yes

EDWARD DAVID SONNIER

n/a

JENNINGS, LA

n/a

yes

DON ANDREW PRICE

n/a

Radford, VA | BALTIMORE, MD

yes

DONALD EUGENE OATES

Chartered Financial Consultant

HAMPSTEAD, MD

n/a

yes

PERCY LEMAR HUNDLEY

n/a

NEWPORT NEWS, VA

yes

CHARLES M JENKINS

n/a

Pittsburgh, PA | BALTIMORE, MD

yes

DAVID FREDERICK GUENSCH

n/a

Allentown, PA | BALTIMORE, MD

yes

STEPHEN HARLOWE PRINDLE

n/a

York, PA | BALTIMORE, MD

yes

FRANK DOMINIC CORTO

n/a

BALTIMORE, MD | York, PA | Tampa, FL

HARVEY CLIFFORD BYRD

n/a

BALTIMORE, MD | Lutherville, MD

yes

Jon Mark Dabareiner

Chartered Financial Consultant

BALTIMORE, MD | HARDY, VA

Brent Alan kochel

n/a

ANNA, IL

n/a

yes

Arthur Graig Gallo

Certified Financial Planner

BALTIMORE, MD | YORK, PA

n/a

yes

KENNETH RAYMOND KIRKEBY

n/a

BALTIMORE, MD | Bridgeport, TX

yes

MARILYN LEJEUNE WATKINS

n/a

BALTIMORE, MD | Jennings, LA

yes

CARRIE LYNN BUSSE

n/a

CHILLICOTHE, MO | BALTIMORE, MD

yes

MICHAEL PRESTON COX

n/a

MATTHEWS, NC | BALTIMORE, MD

yes

JAMES L JOHNSON

n/a

BALTIMORE, MD | MATHEWS, NC

yes

Joseph Matthew Sutphin

n/a

Radford, VA | BALTIMORE, MD

n/a

yes

PETER GRAHAM WILKINSON

n/a

York, PA | BALTIMORE, MD

RICHARD ALAN FOGAL

n/a

Allentown, PA | BALTIMORE, MD

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DONLAN WELKER, TERRY, LYNN

CHIEF COMPLIANCE OFFICER

yes

04/2024

Nov 20, 2024

FOX, CHARLES, CURTIS

CHIEF EXECUTIVE OFFICER

yes

01/2007

Mar 11, 2019

Nov 20, 2024

LOMBARD SECURITIES INCORPORATED

100% OWNER OF LOMBARD ADVISERS INCORPORATED

yes

08/1994

Mar 11, 2019

Nov 20, 2024

SOCHA, WILLIAM, STEPHEN

CHIEF FINANCIAL OFFICER

yes

11/2000

Mar 11, 2019

Nov 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LOMBARD AGENCY

n/a

yes

n/a

LOMBARD SECURITIES INCORPORATED

n/a

City

State

Country

Employees

Also broker-dealer

York

United States

yes

Jennings

United States

yes

Radford

United States

yes

Mathews

United States

yes

Poinciana

United States

yes

Anna

United States

yes

Jefferson

United States

yes

Chillicothe

United States

yes

Charlotte

United States

yes

Allentown

United States

yes

PLYMOUTH MEETING

United States

yes

Bridgeport

United States

yes

Hardy

United States

NEWPORT NEWS

United States

yes

Tazewell

United States

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$670M

$245M

n/a

2024

Mar 27, 2025

$567M

$199M

n/a

2023

Mar 27, 2024

$366M

$168M

n/a

2022

Mar 30, 2023

$258M

$130M

n/a

2021

Mar 30, 2022

$255M

$108M

n/a

2020

Mar 30, 2021

$202M

$84.1M

n/a

2019

Apr 30, 2020

$158M

$69.3M

n/a

2018

Mar 26, 2019

$113M

$51.3M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

3.1%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$670M

$567M

18.0%

$258M

37.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SB ADVISORY, LLC

Apr 7, 2017

Apr 25, 2017

ATLANTA, GA

Team lift out

Other

6.3%