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.
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SEC-registered adviser
S•••••• I••••••••• G••••
Legal name S•••••• I••••••••• G••••• L••
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 |
|---|---|---|---|---|
| C••••••••• S•••• S•••••• | Bethesda, Md | Aug 3, 2018 | 42 y | 2 |
| S••••• F••••••• B•••• | Bethesda, Md | Aug 14, 2018 | 42 y | 2 |
| B•••• D•••••• M••••••• | Bethesda, Md | Aug 24, 2018 | 22 y | 2 |
| R•••••• M••••• R•••••••• | Bethesda, Md | Aug 27, 2018 | 45 y | 2 |
| S•••••• G•••••• | Bethesda, Md | Feb 11, 2019 | 42 y | 3 |
| T•••••• P•••Chartered Financial Analyst | Bethesda, Md | Sep 1, 2021 | 10 y | 1 |
| T••••• R••• H•••• | Bethesda, Md | Sep 10, 2021 | 12 y | 1 |
| C••••••••• N••• R•••• | Bethesda, Md | Jan 10, 2022 | 14 y | 1 |
| L•••• E• H•••••• | Bethesda, Md | Jun 3, 2024 | 11 y | 2 |
| D•••• T• S••••••Certified Financial Planner | Bethesda, Md | Jun 10, 2024 | 13 y | 2 |
| M•••••• J••• E••••• | Bethesda, Md | Jul 29, 2024 | 20 y | 4 |
| Z•••••• H••••••Certified Financial Planner | Bethesda, Md | Mar 5, 2025 | 11 y | 4 |
| S••• J••• M••••• | Bethesda, Md | Jan 13, 2026 | 10 y | 0 |
| E••••• H• L••••• | 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
- E••••• M••••••• G•••• to P•••••••••Feb 22, 2024 · RIA to a newly registered adviser
- S•••••• A•••• S•••• to W•••• F•••• A•••••••Jan 7, 2022 · RIA to wirehouse
Joined, latest
- Z•••••• H•••••• from G••••••••• A•••••••• L••Mar 5, 2025 · RIA to RIA
- M•••••• J••• E••••• from A••••••••• F•••••••• S•••••••• L••Jul 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- D•••• T• S•••••• from C••••••••• C•••••• M••••••••• L••Jun 10, 2024 · Other
- L•••• E• H•••••• from M••••• S••••••Jun 3, 2024 · Wirehouse to independent RIA
- C••••••••• N••• R•••• from R••••••• P•••••••• L••Jan 10, 2022 · RIA to RIA
- T••••• R••• H•••• from W•••• F•••• A•••••••Sep 10, 2021 · Wirehouse to independent RIA
- T•••••• P••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 1, 2021 · Wirehouse to independent RIA
- E••••• M••••••• G•••• from U••••• C•••••• F•••••••• A•••••••Sep 9, 2020 · Affiliated broker-dealer or bank to independent RIA
- S•••••• G•••••• from S•• G••••• L••Feb 11, 2019 · Other
- R•••••• M••••• R•••••••• from W•••• F•••• A•••••••Aug 27, 2018 · Wirehouse to independent RIA
- B•••• D•••••• M••••••• from W•••• F•••• A•••••••Aug 24, 2018 · Wirehouse to independent RIA
- S••••• F••••••• B•••• from W•••• F•••• A•••••••Aug 14, 2018 · Wirehouse to independent RIA
- C••••••••• S•••• S•••••• from W•••• F•••• A•••••••Aug 3, 2018 · Wirehouse to independent RIA
- S•••••• A•••• S•••• from W•••• F•••• A•••••••Aug 3, 2018 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from W•••• F•••• A•••••••Aug 7, 2018 · Washington, Dc
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• A••••••••• F•••• L• | $9.8M | 17 | May 26, 2026 |
Owners and control persons
Schedule A and B, latest filing
- H••••• L••••• A• · Chief Operating Officercontrolsince 03/2026 · owns less than 5%
- L•••••• E•••••• H• · Chief Investment Officer/Membercontrolsince 04/2026 · owns 5% to 10%
- M•••••••• B••••• D•••••• · Chief Executive Officer/Managing Membercontrolsince 05/2018 · owns 25% to 50%
- R••••• C••••••••• N••• · Managing Membercontrolsince 01/2022 · owns 10% to 25%
- R••••••••• R••••••• M••••• · Managercontrolsince 01/2026 · owns less than 5%
- S••••••• C••••••••• S•••• · Managercontrolsince 01/2024 · owns less than 5%
- S••••••• T•••••• M•••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- M•••••••• B••••• D•••••• · Trusteecontrolsince 02/2024 · owns F of 2••• T••••• M••••••• F••••• T••••
- R••••••••• N•••• · Trusteesince 01/2022 · owns F of R•••••• R•••••••• F••••• T••••
- S••••• C•••••••• · Trusteesince 02/2022 · owns F of R•••••• R•••••••• F••••• T••••
Entity owners
- 2••• T••••• M••••••• F••••• T•••• · Memberdirect · owns 10% to 25%
- R•••••• R•••••••• F••••• T•••• · 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, 2026S••••••• C••••••••• S•••• (MANAGER) appeared on Schedule A between the filings of 2024-03-13 and 2026-05-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 26, 2026L•••••• E•••••• 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 (1,362)
- control person changedChange between filings · filing May 26, 2026H••••• L••••• A• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-03-13 and 2026-05-26peers: independent wealth managers, $1B to $5B (1,362)
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
- E••••• M••••••• G•••• left S•••••• I••••••••• G•••• for Promethium (registered 2024-02-09)Feb 22, 2024 · Advisor changed firm · fact
- Smith Christopher Sargent (Principal) no longer on Schedule A of S•••••• I••••••••• G•••• (listed 2023-07-06, absent 2024-01-26)Jan 26, 2024 · Control person left · inference
- S•••••• A•••• S•••• left S•••••• I••••••••• G•••• for W•••• F•••• A••••••• (registered 2023-09-18)Jan 7, 2022 · Advisor changed firm · fact
- S•••••• I••••••••• G•••• reported RAUM $971.3M, up 29% from $752.4M (2019-11-14 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
- S•••••• I••••••••• G•••• reported RAUM $752.4M, up 218% from $236.5M (2018-11-06 to 2019-03-11)Mar 11, 2019 · RAUM change · derived
- S•••••• I••••••••• G•••• reported RAUM $236.5M, down 72% from $856.0M (2018-08-27 to 2018-09-21)Sep 21, 2018 · RAUM change · derived
- M•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jun 4, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• I••••••••• G•••• · Independent Sponsorsshared crd · capital_provider
- S•••••• I••••••••• G•••• · 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
- Website
- sargentinvestmentgroup.comreportedpublic record, Form ADV, Sep 18, 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