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
Sargent Investment Group
Legal name Sargent Investment Group, LLC
Latest filing May 26, 2026
First filing on the tape Jun 4, 2018 · 46 filings
SEC status approved since Jul 6, 2018
RAUM
$1.5B
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
94%
$1.4B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$1.5B as of May 26, 2026
Mar 11, 2019$752M then
HNW client RAUM$1.3B as of May 26, 2026
Mar 11, 2019$676M then
State-registered IARs (5.B.3)12 as of May 26, 2026
Mar 11, 20199 then
Employees (5.A)18 as of May 26, 2026
Mar 11, 201910 then
Private funds1 as of May 26, 2026
Apr 30, 20251 then
RAUM +15% over the last fiscal year+13% a year over threeIARs 12 to 12
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 14.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.1B, 912 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B90%
- Charitable organizations$59.6M4.0%
- Individuals$59.3M4.0%
- Corporations and businesses$21.7M1.5%
- Individual clients
- 145reported
- HNW clients
- 251reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 1,381reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 912 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Smith Sargent | Bethesda, Md | Aug 3, 2018 | 42 y | 2 |
| Samuel Ferguson Beach | Bethesda, Md | Aug 14, 2018 | 42 y | 2 |
| Brian Douglas Mcgregor | Bethesda, Md | Aug 24, 2018 | 22 y | 2 |
| Ricardo Martin Rosenberg | Bethesda, Md | Aug 27, 2018 | 45 y | 2 |
| Susette Gustini | Bethesda, Md | Feb 11, 2019 | 42 y | 3 |
| Timothy PangChartered Financial Analyst | Bethesda, Md | Sep 1, 2021 | 10 y | 1 |
| Thomas Rory Healy | Bethesda, Md | Sep 10, 2021 | 12 y | 1 |
| Christopher Neel Rhyne | Bethesda, Md | Jan 10, 2022 | 14 y | 1 |
| Laura E Hodgson | Bethesda, Md | Jun 3, 2024 | 11 y | 2 |
| David T SeamansCertified Financial Planner | Bethesda, Md | Jun 10, 2024 | 13 y | 2 |
| Matthew John Elmore | Bethesda, Md | Jul 29, 2024 | 20 y | 4 |
| Zachary HubbardCertified Financial Planner | Bethesda, Md | Mar 5, 2025 | 11 y | 4 |
| Sara Jane Mongno | Bethesda, Md | Jan 13, 2026 | 10 y | 0 |
| Edward H Lamade | Bethesda, Md | May 19, 2026 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Edward Marshall Giese to PromethiumFeb 22, 2024 · RIA to a newly registered adviser
- Suzanne Anita Small to Wells Fargo AdvisorsJan 7, 2022 · RIA to wirehouse
Joined, latest
- Zachary Hubbard from Greenspring Advisors, LLCMar 5, 2025 · RIA to RIA
- Matthew John Elmore from Ameriprise Financial Services, LLCJul 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- David T Seamans from Charleston Capital Management, LLCJun 10, 2024 · Other
- Laura E Hodgson from Morgan StanleyJun 3, 2024 · Wirehouse to independent RIA
- Christopher Neel Rhyne from Reinhart Partners, LLCJan 10, 2022 · RIA to RIA
- Thomas Rory Healy from Wells Fargo AdvisorsSep 10, 2021 · Wirehouse to independent RIA
- Timothy Pang from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 1, 2021 · Wirehouse to independent RIA
- Edward Marshall Giese from United Capital Financial AdvisorsSep 9, 2020 · Affiliated broker-dealer or bank to independent RIA
- Susette Gustini from Skg Group, LLCFeb 11, 2019 · Other
- Ricardo Martin Rosenberg from Wells Fargo AdvisorsAug 27, 2018 · Wirehouse to independent RIA
- Brian Douglas Mcgregor from Wells Fargo AdvisorsAug 24, 2018 · Wirehouse to independent RIA
- Samuel Ferguson Beach from Wells Fargo AdvisorsAug 14, 2018 · Wirehouse to independent RIA
- Christopher Smith Sargent from Wells Fargo AdvisorsAug 3, 2018 · Wirehouse to independent RIA
- Suzanne Anita Small from Wells Fargo AdvisorsAug 3, 2018 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from Wells Fargo AdvisorsAug 7, 2018 · Washington, Dc
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sig Alternatives Fund, LP | $9.8M | 17 | May 26, 2026 |
Owners and control persons
Schedule A and B, latest filing
- An Laura Hespe · Chief Operating Officercontrolsince 03/2026 · owns less than 5%
- H Edward Lamade · Chief Investment Officer/Membercontrolsince 04/2026 · owns 5% to 10%
- Douglas Brian Mcgregor · Chief Executive Officer/Managing Membercontrolsince 05/2018 · owns 25% to 50%
- Neel Christopher Rhyne · Managing Membercontrolsince 01/2022 · owns 10% to 25%
- Martin Ricardo Rosenberg · Managercontrolsince 01/2026 · owns less than 5%
- Smith Christopher Sargent · Managercontrolsince 01/2024 · owns less than 5%
- Marie Teresa Schafer · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- Douglas Brian Mcgregor · Trusteecontrolsince 02/2024 · owns F of 2024 Thayer Mcgregor Family Trust
- Nancy Rosenberg · Trusteesince 01/2022 · owns F of Ricardo Rosenberg Family Trust
- Christine Sorge · Trusteesince 02/2022 · owns F of Ricardo Rosenberg Family Trust
Entity owners
- 2024 Thayer Mcgregor Family Trust · Memberdirect · owns 10% to 25%
- Ricardo Rosenberg Family Trust · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 14 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 26, 2026HESPE, LAURA, AN (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-03-13 and 2026-05-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing May 26, 2026SARGENT, CHRISTOPHER, SMITH (MANAGER) appeared on Schedule A between the filings of 2024-03-13 and 2026-05-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing May 26, 2026LAMADE, EDWARD, H (CHIEF INVESTMENT OFFICER/MEMBER) appeared on Schedule A between the filings of 2024-03-13 and 2026-05-26peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,258 to 1,381Apr 30, 2025 to Feb 13, 2026
- Advisory employees · 12 to 13Apr 30, 2025 to Feb 13, 2026
- Charity clients · 7 to 11Apr 30, 2025 to Feb 13, 2026
- HNW clients · 244 to 251Apr 30, 2025 to Feb 13, 2026
- Individual clients · 133 to 145Apr 30, 2025 to Feb 13, 2026
- Assets in custody · $844M to $1.1BApr 30, 2025 to Feb 13, 2026
- Employees · 15 to 18Apr 30, 2025 to Feb 13, 2026
- Discretionary RAUM · $970M to $1.2BApr 30, 2025 to Feb 13, 2026
- HNW RAUM · $1.1B to $1.3BApr 30, 2025 to Feb 13, 2026
- Individual RAUM · $50.6M to $59.3MApr 30, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $313M to $311MApr 30, 2025 to Feb 13, 2026
- RAUM · $1.3B to $1.5BApr 30, 2025 to Feb 13, 2026
- Accounts · 1,676 to 1,258Oct 30, 2024 to Apr 30, 2025
- Advisory employees · 10 to 12Oct 30, 2024 to Apr 30, 2025
- Advisory activities · 4 to 5Oct 30, 2024 to Apr 30, 2025
- Charity clients · 6 to 7Oct 30, 2024 to Apr 30, 2025
- Corporate clients · 13.0 to unsetOct 30, 2024 to Apr 30, 2025
- HNW clients · 238 to 244Oct 30, 2024 to Apr 30, 2025
- Individual clients · 156 to 133Oct 30, 2024 to Apr 30, 2025
- Pension plan clients · 0.0 to unsetOct 30, 2024 to Apr 30, 2025
- Pooled vehicle clients · 0.0 to unsetOct 30, 2024 to Apr 30, 2025
- Assets in custody · $124M to $844MOct 30, 2024 to Apr 30, 2025
- Employees · 13 to 15Oct 30, 2024 to Apr 30, 2025
- Financial planning clients · 51-100 to 0Oct 30, 2024 to Apr 30, 2025
- State-registered IARs · 10 to 12Oct 30, 2024 to Apr 30, 2025
- Private funds · unset to 1Oct 30, 2024 to Apr 30, 2025
- Discretionary RAUM · $788M to $970MOct 30, 2024 to Apr 30, 2025
- HNW RAUM · $979M to $1.1BOct 30, 2024 to Apr 30, 2025
- Individual RAUM · $67.3M to $50.6MOct 30, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $358M to $313MOct 30, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · 0.0 to unsetOct 30, 2024 to Apr 30, 2025
- RAUM · $1.1B to $1.3BOct 30, 2024 to Apr 30, 2025
- Accounts · 1,139 to 1,676Jan 26, 2024 to Mar 13, 2024
- Advisory employees · 11 to 10Jan 26, 2024 to Mar 13, 2024
- Corporate clients · 14 to 13Jan 26, 2024 to Mar 13, 2024
- Individual clients · 149 to 156Jan 26, 2024 to Mar 13, 2024
- Assets in custody · $384M to $124MJan 26, 2024 to Mar 13, 2024
- State-registered IARs · 11 to 10Jan 26, 2024 to Mar 13, 2024
- Discretionary RAUM · $686M to $788MJan 26, 2024 to Mar 13, 2024
- HNW RAUM · $871M to $979MJan 26, 2024 to Mar 13, 2024
Signals
7 dated events
- Edward Marshall Giese left Sargent Investment Group for Promethium (registered 2024-02-09)Feb 22, 2024 · Advisor changed firm · fact
- Smith Christopher Sargent (Principal) no longer on Schedule A of Sargent Investment Group (listed 2023-07-06, absent 2024-01-26)Jan 26, 2024 · Control person left · inference
- Suzanne Anita Small left Sargent Investment Group for Wells Fargo Advisors (registered 2023-09-18)Jan 7, 2022 · Advisor changed firm · fact
- Sargent Investment Group reported RAUM $971.3M, up 29% from $752.4M (2019-11-14 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
- Sargent Investment Group reported RAUM $752.4M, up 218% from $236.5M (2018-11-06 to 2019-03-11)Mar 11, 2019 · RAUM change · derived
- Sargent Investment Group reported RAUM $236.5M, down 72% from $856.0M (2018-08-27 to 2018-09-21)Sep 21, 2018 · RAUM change · derived
- Moseley Investments, Llc filed its initial SEC registration (Form ADV)Jun 4, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Sargent Investment Group · Independent Sponsorsshared crd · capital_provider
- Sargent Investment Group · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@sargentinvestmentgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 202-580-6400reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sargentinvestmentgroupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- sargentinvestmentgroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (202) 580-6400reportedpublic record, Form ADV, May 26, 2026
- Contact form
- sargentinvestmentgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sargentinvestmentgroup.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026