DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Lombard Advisers Incorporated
Latest filing Mar 27, 2026
First filing on the tape Mar 11, 2019 · 19 filings
SEC status approved since Apr 12, 2019
RAUM
$670M
reported, Item 5.F
Discretionary
37%
of RAUM
Private clients
76%
$511M individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$20.9M
derived; firm RAUM over IAPD count
Employees
41
30 advisory (5.B.1)
Offices
23
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$670M as of Mar 27, 2026
Mar 26, 2019$113M then
HNW client RAUM$155M as of Mar 27, 2026
Mar 26, 2019$28.9M then
State-registered IARs (5.B.3)30 as of Mar 27, 2026
Mar 26, 201929 then
Employees (5.A)41 as of Mar 27, 2026
Mar 26, 201938 then
Private funds: no history
RAUM +18% over the last fiscal year+37% a year over threeIARs 31 to 30offices 25 to 23
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $20.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $460,049derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 37%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived24 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -3.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $545MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$357M53%
- High-net-worth individuals$155M23%
- Pension and profit-sharing plans$95.4M14%
- Charitable organizations$62.7M9.4%
- Corporations and businesses$256,3100.0%
- Individual clients
- 867reported
- HNW clients
- 74reported
- Pension plan clients
- 27reported
- Charitable clients
- 15reported
- Accounts
- 1,456reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $33.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.24 related_bd=true related_bank=false bd_reps=32.0derived
Advisors registered through the firm
32 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Edwin Major Reynolds | Baltimore, Md | Apr 24, 2000 | 45 y | 0 |
| Gary Allen King | Poinciana, Fl | Apr 20, 2001 | 44 y | 0 |
| Raymond Ballard Harrison | Baltimore, Md | May 27, 2004 | 38 y | 1 |
| Thomas Stephen Walls | Baltimore, Md | Apr 8, 2005 | 45 y | 0 |
| Gary Cleveland Collier | Baltimore, Md | Sep 24, 2007 | 46 y | 1 |
| Edward David Sonnier | Jennings, La | May 5, 2009 | 30 y | 0 |
| Don Andrew Price | Radford, Va | Jun 1, 2009 | 27 y | 2 |
| Donald Eugene OatesChartered Financial Consultant | Hampstead, Md | Mar 27, 2013 | 39 y | 0 |
| Percy Lemar Hundley | Newport News, Va | Nov 10, 2014 | 45 y | 2 |
| Charles M Jenkins | Pittsburgh, Pa | Feb 8, 2016 | 27 y | 2 |
| David Frederick Guensch | Allentown, Pa | Jul 20, 2016 | 30 y | 3 |
| Stephen Harlowe Prindle | York, Pa | Apr 21, 2017 | 11 y | 2 |
| Frank Dominic Corto | Baltimore, Md | Apr 25, 2017 | 31 y | 3 |
| Harvey Clifford Byrd | Baltimore, Md | Jun 21, 2018 | 20 y | 2 |
| Jon Mark DabareinerChartered Financial Consultant | Baltimore, Md | Sep 18, 2018 | 37 y | 2 |
| Brent Alan Kochel | Anna, Il | Apr 12, 2019 | 14 y | 0 |
| Arthur Graig GalloCertified Financial Planner | Baltimore, Md | Jun 11, 2019 | 12 y | 0 |
| Kenneth Raymond Kirkeby | Baltimore, Md | Sep 16, 2020 | 42 y | 7 |
| Marilyn Lejeune Watkins | Baltimore, Md | Jan 7, 2021 | 22 y | 1 |
| Carrie Lynn Busse | Chillicothe, Mo | Nov 8, 2021 | 25 y | 3 |
| James L Johnson | Baltimore, Md | Apr 21, 2022 | 32 y | 1 |
| Michael Preston Cox | Matthews, Nc | Apr 21, 2022 | 42 y | 1 |
| Joseph Matthew Sutphin | Radford, Va | Jul 14, 2022 | 13 y | 0 |
| Peter Graham Wilkinson | York, Pa | Feb 28, 2023 | 27 y | 1 |
| Richard Alan Fogal | Allentown, Pa | Apr 5, 2023 | 15 y | 1 |
| Leslie Marvin Boyce | Bridgeport, Wv | Dec 4, 2024 | 28 y | 8 |
| Johnny G Brown | Pasedena, Md | Jan 1, 2025 | 18 y | 1 |
| Steven Robert Switlick | Jefferson, Md | Jan 1, 2025 | 40 y | 0 |
| Brian Lee Slagle | Annapolis, Md | Jan 3, 2025 | 10 y | 0 |
| Joseph Carl SonnierChartered Financial Analyst | Jennings, La | May 20, 2025 | 11 y | 0 |
| Lawrence Ira Reitars | Baltimore, Md | Jan 27, 2026 | 27 y | 3 |
| Lyndsey Marie Michelsen | Baltimore, Md | Jun 30, 2026 | 13 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 3.1% of current headcount6 left over 36 months
Left, latest
- William Charles Fox to LPL Financial LLCAug 31, 2026 · RIA to affiliated broker-dealer or bank
- Brandon Reed Croxton to Brc Financial PlanningJul 28, 2025 · RIA to a state-registered adviser
- Jack A. Heil to Planmember Securities CorporationMay 29, 2025 · RIA to RIA
- Kamran Richard to J.P. Morgan Securities LLCDec 31, 2024 · RIA to wirehouse
- Jeffrey Darrin Murray to LPL Financial LLCJun 24, 2024 · RIA to affiliated broker-dealer or bank
- Syed Abdul Rumin to Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 4, 2023 · RIA to wirehouse
- Thomas Sweeney to Cambridge Investment Research Advisors, Inc.Apr 18, 2018 · RIA to affiliated broker-dealer or bank
- Eric Graupensperger to MML Investors Services, LLCJan 2, 2018 · Other
- Stanley Anthony Kosack to Blu Collar Wealth Management LLCDec 3, 2017 · Other
- Trudy Ann Fearon to Oaktree Advisors LLCNov 17, 2016 · RIA to RIA
- Mark Burkhardt to Stonebrook Investment, LLCJul 17, 2013 · RIA to a state-registered adviser
- Stephanie Goldsborough Bigwood to Osaic Fa, Inc.Mar 23, 2006 · Other
- Chris H Naum to Investors Capital AdvisoryDec 31, 2005 · Other
Joined, latest
- William Charles Fox from Edward JonesFeb 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lawrence Ira Reitars from Stifel Independent Advisors, LLCJan 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Johnny G Brown from Edward JonesJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Leslie Marvin Boyce from Cetera Investment Advisers LLCDec 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- Richard Alan Fogal from Primerica AdvisorsApr 5, 2023 · Affiliated broker-dealer or bank to independent RIA
- Peter Graham Wilkinson from MML Investors Services, LLCFeb 28, 2023 · Affiliated broker-dealer or bank to independent RIA
- James L Johnson from Wells Fargo AdvisorsApr 21, 2022 · Wirehouse to independent RIA
- Michael Preston Cox from Wells Fargo AdvisorsApr 21, 2022 · Wirehouse to independent RIA
- Carrie Lynn Busse from Cetera Advisor Networks LLCNov 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- Marilyn Lejeune Watkins from LPL Financial LLCJan 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- Kenneth Raymond Kirkeby from Private Client Services, LLCSep 16, 2020 · RIA to RIA
- Jack A. Heil from Avantax Advisory ServicesMay 6, 2019 · Affiliated broker-dealer or bank to independent RIA
- Jon Mark Dabareiner from Concord Wealth PartnersSep 18, 2018 · Other
- Harvey Clifford Byrd from MML Investors Services, LLCJun 21, 2018 · Affiliated broker-dealer or bank to independent RIA
- Jeffrey Darrin Murray from Benjamin F. Edwards & Company, IncorporatedMay 25, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Sb Advisory, LLCApr 7, 2017 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Terry Donlan Welker · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- Curtis Charles Fox · Chief Executive Officercontrolsince 01/2007 · owns less than 5%
- Stephen William Socha · Chief Financial Officercontrolsince 11/2000 · owns less than 5%
Entity owners
- Lombard Securities Incorporated · 100% Owner Of Lombard Advisers Incorporateddirect · owns 75% or more
Related persons
Schedule D 7.A
- Lombard Agencyreal estaten
- Lombard Securities Incorporatedbroker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 25 | 2 | 1 | ||
| York, Pa | 5 | 1 | 0 | ||
| Jennings, La | 3 | 0 | 0 | ||
| Radford, Va | 3 | 0 | 0 | ||
| Allentown, Pa | 2 | 0 | 0 | ||
| Annapolis, Md | 2 | 0 | 0 | ||
| Owings Mills, Md | 0 | 0 | 0 | ||
| Tazewell, Va | 0 | 0 | 0 | ||
| Bethesda, Md | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- York, PA4 employees
- Radford, VA3 employees
- Jennings, LA3 employees
- Mathews, NC2 employees
- Chillicothe, MO1 employees
- Hardy, VA1 employees
- Jefferson, MD1 employees
- Newport News, VA1 employees
- Plymouth Meeting, PA1 employees
- Poinciana, FL1 employees
- Tazewell, VA1 employees
- Allentown, PA1 employees
- , 1 employees
- Anna, IL1 employees
- Bridgeport, TX1 employees
- Charlotte, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 1,377 to 1,456Mar 27, 2025 to Mar 27, 2026
- Advisory employees · 31 to 30Mar 27, 2025 to Mar 27, 2026
- BD registered reps · 34 to 32Mar 27, 2025 to Mar 27, 2026
- HNW clients · 65 to 74Mar 27, 2025 to Mar 27, 2026
- Individual clients · 841 to 867Mar 27, 2025 to Mar 27, 2026
- Pension plan clients · 32 to 27Mar 27, 2025 to Mar 27, 2026
- Employees · 42 to 41Mar 27, 2025 to Mar 27, 2026
- State-registered IARs · 31 to 30Mar 27, 2025 to Mar 27, 2026
- Other offices · 25 to 23Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $199M to $245MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $191M to $155MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $227M to $357MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $368M to $425MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $93.0M to $95.4MMar 27, 2025 to Mar 27, 2026
- RAUM · $567M to $670MMar 27, 2025 to Mar 27, 2026
- Wrap assets (manager) · $30.1M to $33.7MMar 27, 2025 to Mar 27, 2026
- Accounts · 1,170 to 1,377Nov 20, 2024 to Mar 27, 2025
- Advisory employees · 33 to 31Nov 20, 2024 to Mar 27, 2025
- Advisory activities · 3 to 4Nov 20, 2024 to Mar 27, 2025
- BD registered reps · 36 to 34Nov 20, 2024 to Mar 27, 2025
- Charity clients · 9 to 15Nov 20, 2024 to Mar 27, 2025
- HNW clients · 45 to 65Nov 20, 2024 to Mar 27, 2025
- Individual clients · 795 to 841Nov 20, 2024 to Mar 27, 2025
- Pension plan clients · 4 to 32Nov 20, 2024 to Mar 27, 2025
- Employees · 44 to 42Nov 20, 2024 to Mar 27, 2025
- Financial planning clients · unset to Nov 20, 2024 to Mar 27, 2025
- State-registered IARs · 33 to 31Nov 20, 2024 to Mar 27, 2025
- Other offices · 21 to 25Nov 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $168M to $199MNov 20, 2024 to Mar 27, 2025
- HNW RAUM · $131M to $191MNov 20, 2024 to Mar 27, 2025
- Individual RAUM · $187M to $227MNov 20, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $199M to $368MNov 20, 2024 to Mar 27, 2025
- Pension RAUM · $2.2M to $93.0MNov 20, 2024 to Mar 27, 2025
- RAUM · $366M to $567MNov 20, 2024 to Mar 27, 2025
- Wrap assets (manager) · $28.1M to $30.1MNov 20, 2024 to Mar 27, 2025
- Accounts · 1,067 to 1,170Nov 9, 2023 to Mar 27, 2024
- Advisory employees · 32 to 33Nov 9, 2023 to Mar 27, 2024
- BD registered reps · 35 to 36Nov 9, 2023 to Mar 27, 2024
- Corporate clients · 3 to 2Nov 9, 2023 to Mar 27, 2024
- HNW clients · 18 to 45Nov 9, 2023 to Mar 27, 2024
Signals
10 dated events
- William Charles Fox left Lombard Advisers Incorporated for Lpl Financial Llc (registered 2026-09-02)Aug 31, 2026 · Advisor changed firm · fact
- Brandon Reed Croxton left Lombard Advisers Incorporated for Brc Financial Planning (registered 2025-07-29)Jul 28, 2025 · Advisor changed firm · fact
- Jack A. Heil left Lombard Advisers Incorporated for Planmember Securities Corporation (registered 2025-05-28)May 29, 2025 · Advisor changed firm · fact
- Lombard Advisers Incorporated reported RAUM $567.4M, up 55% from $366.4M (2024-11-20 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Kamran Richard left Lombard Advisers Incorporated for J.P. Morgan Securities Llc (registered 2025-01-08)Dec 31, 2024 · Advisor changed firm · fact
- Lynn Terry Donlan Welker (Chief Compliance Officer) appeared on Schedule A of Lombard Advisers IncorporatedNov 20, 2024 · Control person joined · fact
- Jeffrey Darrin Murray left Lombard Advisers Incorporated for Lpl Financial Llc (registered 2024-06-21)Jun 24, 2024 · Advisor changed firm · fact
- Lombard Advisers Incorporated reported RAUM $366.4M, up 42% from $257.7M (2023-11-09 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Syed Abdul Rumin left Lombard Advisers Incorporated for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-10-30)Oct 4, 2023 · Advisor changed firm · fact
- Lombard Advisers Incorporated filed its initial SEC registration (Form ADV)Mar 11, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- bhall@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cfox@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- deyler@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- epreviti@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- hburch@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- lbain@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- twelker@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- twolf@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- wsocha@golombard.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-342-1300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-732-0303reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-755-2144reportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026