Sargent Investment Group

RIASEC RegisteredEst. 2018
Total AUM
$1.5B
Discretionary
$1.2B
79% of AUM
Avg account
$1.1M
Accounts
1,381
Employees
18
Advisory reps
15

Firm details

Headquarters
Bethesda, Maryland
CRD number
297499
Registered since
July 6, 2018
Website
www.sargentinvestmentgroup.com
Custodians
GOLDMAN SACHS CUSTODY SOLUTIONS, CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Fixed Fees
Client types
  • HNWI90.47%
  • Charitable Organizations4.04%
  • Individuals4.02%
  • Corporations / Businesses1.47%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Sargent Investment Group is an independent registered investment adviser organized as an LLC and SEC-registered since 2018. The firm positions itself as a capital allocator serving both individual/family and institutional clients. Its compensation mixes AUM-based fees with fixed fees, and its advisory services include financial planning, portfolio management for individuals and small businesses, management of pooled investment vehicles, pension consulting, and selection of other advisers. The firm does not identify as an active ESG investor and is not registered as a multi-state adviser. Sargent Investment Group has been recognized in Forbes’ RIA listings, appearing on America's Top RIA Firms in 2023 and on Forbes’ Top RIA Firms list in 2024. Ownership is described as a combination of a domestic entity and an individual.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 53%, Public Funds/Mutual Funds 37%, Private Funds 4%, Cash & Cash Equivalents 3%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%53%
  • Exchange Traded Equities53%
  • Public Funds/Mutual Funds37%
  • Private Funds4%
  • Cash & Cash Equivalents3%
  • US Government Bonds1%

Owners & executives

2 of 2

  • Edward Lamade

    Chief Investment OfficerCRD 5038179

  • Teresa Schafer

    Teresa Schafer

    Chief Compliance OfficerCRD 1657564

Contacts

3 of 13
  • Christopher Sargent

    Christopher Sargent

    Principal and Financial AdvisorCRD 410969

  • Brian Mcgregor

    Brian Mcgregor

    PrincipalCRD 4694197

  • Sara Mongno

    Sara Mongno

    Client RelationsCRD 7268832

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 94

Active vs passive

$463M in ETFs

Passive

92%

$425M

Active

7%

$37.9M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) BLOOMBERG 3-12 MONTH T-BILL ETF (BILS)State StreetPassiveUltrashort Bond$64.5M648,96613.94%
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Location

Primary office

Bethesda, MD

Montgomery

Location

Bethesda, MD

Headquartered in Bethesda, MD, anchoring the Washington-Baltimore-Arlington, DC-MD-VA-WV-PA metro in the South.

Metro area
Washington-Baltimore-Arlington, DC-MD-VA-WV-PA
Region
South
County
Montgomery
Address
4920 Elm St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth