Sargent Investment Group, Llc
- Regulatory AUM
- $1.5B
- Discretionary
- $1.2B
- Clients
- 407
- Avg AUM / client
- $3.6M
- Accounts
- 1,381
- Employees
- 18
AUM over time
Annual snapshots from Form ADV filings · as of May 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 145 | $59.3M | 4.02% |
| High net worth individuals | 251 | $1.3B | 90.5% |
| Charitable organizations | 11 | $59.6M | 4.04% |
| Corporations and other businesses | Fewer than 5 clients | $21.7M | 1.47% |
People (16)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian Douglas Mcgregor | Principal | May 2018 (8y) | 25% – 50% | |
| Ricardo Martin Rosenberg | Principal | May 2018 (8y) | Less than 5% | |
| Schafer, Teresa, Marie | Chief Compliance Officer | Jun 2018 (8y) | Less than 5% | |
| Christopher Neel Rhyne | Principal | Jan 2022 (5y) | 25% – 50% | |
| Rosenberg, Nancy | Trustee | Jan 2022 (5y) | GP / trustee / elected manager of Ricardo Rosenberg Family Trust (indirect) | |
| Christopher Smith Sargent | Registered representative | Aug 2018 (8y) | ||
| Samuel Ferguson Beach | Registered representative | Aug 2018 (8y) | ||
| Susette Gustini | Registered representative | Feb 2019 (7y) | ||
| Timothy Pang | Registered representative | CFA | Sep 2021 (5y) | |
| Thomas Rory Healy | Registered representative | Sep 2021 (5y) | ||
| Laura E Hodgson | Registered representative | Jun 2024 (2y) | ||
| David T Seamans | Registered representative | CFP | Jun 2024 (2y) | |
| Matthew John Elmore | Registered representative | Jul 2024 (2y) | ||
| Zachary Hubbard | Registered representative | CFP | Mar 2025 (1y) | |
| Sara Jane Mongno | Registered representative | Jan 2026 (1y) | ||
| Edward H Lamade | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Ricardo Rosenberg Family Trust | Member | Jan 2022 | A | 10% – 25% |
| 2024 Thayer Mcgregor Family Trust | Member | Feb 2024 | A | 10% – 25% |
| Sorge, Christine | Trustee | Feb 2022 | B | GP / trustee / elected manager of Ricardo Rosenberg Family Trust (indirect) |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/26/2026 | 1.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Folio Investments, Inc. $1.3B (87% of AUM) May 2026
- Charles Schwab & Co. $190M (13% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 26, 2026.
View current Form ADV (SEC/IAPD) ↗