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
Lmcg Investments, LLC
Latest filing Apr 9, 2026
First filing on the tape Mar 22, 2012 · 43 filings
SEC status approved since Jul 6, 2009
RAUM
$6.8B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
37%
$2.5B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$976M
derived; firm RAUM over IAPD count
Employees
46
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$6.8B as of Apr 9, 2026
Mar 22, 2012$4.3B then
HNW client RAUM$2.5B as of Apr 9, 2026
Jan 29, 2018$1.3B then
State-registered IARs (5.B.3)9 as of Apr 9, 2026
Mar 28, 201310 then
Employees (5.A)46 as of Apr 9, 2026
Mar 28, 201354 then
Private funds2 as of Apr 9, 2026
Mar 22, 20122 then
RAUM +4.4% over the last fiscal year+19% a year over threeIARs 5 to 9
Practice profile
derived from the filing of Apr 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $976MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.6derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.2%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $887M, 132 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.5B36%
- Pooled investment vehicles$2.4B36%
- State and municipal entities$1.2B17%
- Investment companies$251M3.7%
- Charitable organizations$221M3.2%
- Other investment advisers$132M1.9%
- Corporations and businesses$89.5M1.3%
- Individuals$57.8M0.8%
- Individual clients
- 168reported
- HNW clients
- 725reported
- Pension plan clients
- 0reported
- Charitable clients
- 37reported
- Accounts
- 1,965reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $887M for 132 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.37 fund_share=0.41 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James B. GribbellChartered Financial Analyst | Boston, Ma | Jul 22, 2009 | 35 y | 1 |
| Nan-Marie JaegerChartered Financial Analyst | Boston, Ma | Jul 22, 2009 | 32 y | 0 |
| Matthew Scott GuleserianChartered Financial Analyst | Boston, Ma | Jul 22, 2009 | 17 y | 1 |
| Scott Michael Macdonald | Boston, Ma | Dec 16, 2013 | 16 y | 0 |
| Christopher James SaboChartered Financial Analyst | Boston, Ma | Mar 13, 2023 | 16 y | 0 |
| Scott Andrew GillespieChartered Financial Analyst | Boston, Ma | Nov 4, 2024 | 12 y | 2 |
| Lars Cianciolo | Boston, Ma | Jan 13, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Daniel Singh to Dhyan Capital ManagementJan 5, 2023 · RIA to a state-registered adviser
- R. Todd Vingers to Leeward InvestmentsMar 29, 2022 · Other
- Jay C. Willadsen to Leeward InvestmentsMar 29, 2022 · Other
- Christopher Sean Deeley to Braver Wealth Management, LLCFeb 3, 2016 · Other
- Donald Eric Cleven to Wedge Capital Management LlpOct 24, 2014 · Other
- Christopher Hale Stoner to Columbia Management Investment Advisers, LLCSep 20, 2011 · Other
Joined, latest
- Lars Cianciolo from UpholdingsJan 13, 2026 · RIA to RIA
- Scott Andrew Gillespie from Artemis Financial AdvisorsNov 4, 2024 · RIA to RIA
- James B. Gribbell from Munder Lee Investments LtdJul 22, 2009 · Other
- Christopher Hale Stoner from Munder Lee Investments LtdJul 22, 2009 · Other
- Matthew Scott Guleserian from Munder Lee Investments LtdJul 22, 2009 · Other
- Christopher Sean Deeley from Munder Lee Investments LtdJul 22, 2009 · Other
- Donald Eric Cleven from Munder Lee Investments LtdJul 22, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Leeward InvestmentsMar 29, 2022 · Boston, Ma
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Serenitas Credit Gamma Master Fund, LP | Hedge Fund | $1.6B | 272 | Apr 17, 2013 |
| Serenitas Dynamic Alpha Master Fund, LP | Hedge Fund | $890M | 30 | Jul 17, 2024 |
| The Emerging Markets Equity Fund, Ltd.no longer reported | Other Private Fund | $33.3M | 3 | Mar 31, 2014 |
| Lmcg Global Market Neutral Fund, L.P.no longer reported | Hedge Fund | $1.3M | 2 | Mar 22, 2012 |
| Lmcg Emerging Markets Fund, L.P.no longer reported | Other Private Fund | $776,893 | 2 | Mar 22, 2012 |
| The Emerging Markets Small Cap Equity Fund, Ltdno longer reported | Other Private Fund | $0 | 0 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Joseph Richard Ganong · Member/Board Membercontrolsince 03/2022 · owns 5% to 10%
- Adam Jason Seltzer · Board Membercontrolsince 03/2022 · owns less than 5%
- Leslie Kenneth Swan · President, Chief Executive Officer, Board Membercontrolsince 07/2009 · owns 10% to 25%
- Joseph F III Tower · Chief Compliance Officer, Chief Operating Officer, Board Membercontrolsince 05/2009 · owns 5% to 10%
- Lawrence David Weeks · Member/Board Membercontrolsince 03/2022 · owns 5% to 10%
- Adam Jason Seltzer · Vice President, Temperance Partners Inc.controlsince 10/2019 · owns F of Temperance Partners Inc.
- Catherine Julia Sorbara · Trustee, Jds Tplp Trustcontrolsince 03/2011 · owns 25% to 50% of Jds Tplp Trust
- Joseph Paul Sorbara · Vice President, Temperance Partners Inc.controlsince 10/2015 · owns F of Temperance Partners Inc.
- Joseph Paul Sorbara · Trustee, Jds Tplp Trustcontrolsince 03/2011 · owns 25% to 50% of Jds Tplp Trust
- Joseph Paul Sorbara · Vice President, Temperance Partners Gp I Limitedcontrolsince 01/2011 · owns F of Temperance Partners Gp I Limited
- Anthony Thomas Sorbara · Trustee, Jds Tplp Trustcontrolsince 03/2011 · owns 25% to 50% of Jds Tplp Trust
- Douglas Kevin Tice · President, Temperance Partners Inc.controlsince 10/2015 · owns F of Temperance Partners Inc.
- Douglas Kevin Tice · President, Temperance Partners Gp I Limitedcontrolsince 01/2011 · owns F of Temperance Partners Gp I Limited
- Andreas Eckner · Membersince 03/2022 · owns 5% to 10%
- Guillaume Horel · Membersince 03/2022 · owns 5% to 10%
- Nan-Marie Jaeger · Membersince 03/2022 · owns 5% to 10%
- Ajit Kumar · Membersince 03/2022 · owns 5% to 10%
- Rodney John Layton · Membersince 03/2022 · owns 5% to 10%
- H Edmund Price · Chief Legal Officersince 09/2015 · owns less than 5%
- A. Brooke Regan · Chief Compliance Officersince 04/2026 · owns less than 5%
- Yu On Edwin Tsui · Membersince 03/2022 · owns 5% to 10%
Entity owners
- Jds Tplp Trust · Limited Partner Ownerindirect · owns 75% or more of Temperance Partners (Canada) Limited Partnership II
- Temperance Partners (Canada) Limited Partnership II · Share-Holder Ownerindirect · owns 75% or more of Temperance Partners Inc.
- Temperance Partners Gp I Limited · General Partnerindirect · owns F of Temperance Partners (Canada) Limited Partnership II
- Temperance Partners Inc. · Ownerindirect · owns 75% or more of Temperance Wealth Partners LP
- Temperance Wealth Partners Inc. · General Partnerindirect · owns F of Temperance Wealth Partners LP
- Temperance Wealth Partners LP · Member Officerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 9, 2026TOWER, III, JOSEPH F (CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, BOARD MEMBER) left Schedule A between the filings of 2022-04-14 and 2026-04-09peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 9, 2026TICE, KEVIN, DOUGLAS (PRESIDENT, TEMPERANCE PARTNERS INC.) left Schedule A between the filings of 2022-04-14 and 2026-04-09peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 9, 2026SORBARA, PAUL, JOSEPH (TRUSTEE, JDS TPLP TRUST) left Schedule A between the filings of 2022-04-14 and 2026-04-09peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 9, 2026SORBARA, JULIA, CATHERINE (TRUSTEE, JDS TPLP TRUST) left Schedule A between the filings of 2022-04-14 and 2026-04-09peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Apr 9, 2026SORBARA, THOMAS, ANTHONY (TRUSTEE, JDS TPLP TRUST) left Schedule A between the filings of 2022-04-14 and 2026-04-09peers: independent wealth managers, $5B to $20B (289)
- advisor count surgeChange between filings · filing Apr 9, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 9.0 (+80.0%) between the annual amendments of 2025-03-28 and 2026-04-09; the peer median change was +6.0% (220 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $5B to $20B (220) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 2,160 to 1,965Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 13 to 16Mar 28, 2025 to Mar 26, 2026
- BD registered reps · 4 to 0Mar 28, 2025 to Mar 26, 2026
- Charity clients · 45 to 37Mar 28, 2025 to Mar 26, 2026
- Corporate clients · 25 to 24Mar 28, 2025 to Mar 26, 2026
- HNW clients · 781 to 725Mar 28, 2025 to Mar 26, 2026
- Individual clients · 202 to 168Mar 28, 2025 to Mar 26, 2026
- Assets in custody · $735M to $887MMar 28, 2025 to Mar 26, 2026
- Employees · 45 to 46Mar 28, 2025 to Mar 26, 2026
- State-registered IARs · 5 to 9Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $6.3B to $6.7BMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $2.3B to $2.5BMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $70.2M to $57.8MMar 28, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $209M to $141MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $2.2B to $2.4BMar 28, 2025 to Mar 26, 2026
- RAUM · $6.5B to $6.8BMar 28, 2025 to Mar 26, 2026
- Accounts · 2,119 to 2,160Jul 17, 2024 to Mar 28, 2025
- Advisory employees · 14 to 13Jul 17, 2024 to Mar 28, 2025
- BD registered reps · 7 to 4Jul 17, 2024 to Mar 28, 2025
- Charity clients · 36 to 45Jul 17, 2024 to Mar 28, 2025
- Corporate clients · 35 to 25Jul 17, 2024 to Mar 28, 2025
- HNW clients · 746 to 781Jul 17, 2024 to Mar 28, 2025
- Individual clients · 204 to 202Jul 17, 2024 to Mar 28, 2025
- Assets in custody · $763M to $735MJul 17, 2024 to Mar 28, 2025
- Employees · 42 to 45Jul 17, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 17, 2024 to Mar 28, 2025
- State-registered IARs · 7 to 5Jul 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $5.6B to $6.3BJul 17, 2024 to Mar 28, 2025
- HNW RAUM · $2.1B to $2.3BJul 17, 2024 to Mar 28, 2025
- Individual RAUM · $66.5M to $70.2MJul 17, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $163M to $209MJul 17, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.6B to $2.2BJul 17, 2024 to Mar 28, 2025
- RAUM · $5.8B to $6.5BJul 17, 2024 to Mar 28, 2025
- Wrap assets (manager) · 163095086.0 to unsetJul 17, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · 0.0 to unsetJul 17, 2024 to Mar 28, 2025
- Private funds · 1 to 2Mar 22, 2024 to Jul 17, 2024
- Accounts · 2,069 to 2,119Mar 17, 2023 to Mar 22, 2024
- Advisory employees · 13 to 14Mar 17, 2023 to Mar 22, 2024
- Charity clients · 17 to 36Mar 17, 2023 to Mar 22, 2024
- Corporate clients · 11 to 35Mar 17, 2023 to Mar 22, 2024
Signals
16 dated events
- Lmcg Investments, Llc reported RAUM $5.8B, up 42% from $4.0B (2023-03-17 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Daniel Singh left Lmcg Investments, Llc for Dhyan Capital Management (registered 2023-04-25)Jan 5, 2023 · Advisor changed firm · fact
- Joseph Richard Ganong (Member/Board Member) appeared on Schedule A of Lmcg Investments, LlcApr 14, 2022 · Control person joined · fact
- Adam Jason Seltzer (Board Member) appeared on Schedule A of Lmcg Investments, LlcApr 14, 2022 · Control person joined · fact
- Douglas Kevin Tice (President, Temperance Partners Inc.) appeared on Schedule A of Lmcg Investments, LlcApr 14, 2022 · Control person joined · fact
- Joseph Paul Sorbara (Vice President, Temperance Partners Inc.) appeared on Schedule A of Lmcg Investments, LlcApr 14, 2022 · Control person joined · fact
- Catherine Julia Sorbara (Trustee, Jds Tplp Trust) appeared on Schedule A of Lmcg Investments, LlcApr 14, 2022 · Control person joined · fact
- Anthony Thomas Sorbara (Trustee, Jds Tplp Trust) appeared on Schedule A of Lmcg Investments, LlcApr 14, 2022 · Control person joined · fact
- R. Todd Vingers left Lmcg Investments, Llc for Leeward Investments (registered 2022-03-28)Mar 29, 2022 · Advisor changed firm · fact
- Jay C. Willadsen left Lmcg Investments, Llc for Leeward Investments (registered 2022-03-17)Mar 29, 2022 · Advisor changed firm · fact
- 2 advisors left Lmcg Investments, LLC (Boston, MA) for Leeward Investments on the same dayMar 29, 2022 · Team lift-out · derived
- Lmcg Investments, Llc reported RAUM $4.3B, down 45% from $7.8B (2022-01-28 to 2022-03-10)Mar 10, 2022 · RAUM change · derived
- Todd R Vingers (Board Member) no longer on Schedule A of Lmcg Investments, Llc (listed 2022-01-28, absent 2022-03-10)Mar 10, 2022 · Control person left · inference
- Rodney John Layton (Member/Board Member) appeared on Schedule A of Lmcg Investments, LlcMar 10, 2022 · Control person joined · fact
- Lawrence David Weeks (Member/Board Member) appeared on Schedule A of Lmcg Investments, LlcMar 10, 2022 · Control person joined · fact
- Parker Jeffrey Davis (Chief Investment Officer) no longer on Schedule A of Lmcg Investments, Llc (listed 2019-01-30, absent 2020-01-29)Jan 29, 2020 · Control person left · inference
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
- info@lmcg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-380-5600reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-380-5601reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-257-2894reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/lmcginvestmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LMCG.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-380-5600reportedpublic record, Form ADV, Apr 9, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $976Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026