Wealth manager, independent · Bethesda, MD
Sargent Investment Group
Sargent Investment Group, LLC · SEC-registered investment adviser · CRD 297499 · SEC 801-113542
At a glance
Sargent Investment Group is an SEC-registered investment adviser based in Bethesda, Maryland, with $1.5B in regulatory assets under management as of its Form ADV filed May 26, 2026. It reports 396 individual clients, 251 of them high-net-worth, holding an average of about $3.5 million each, and 18 employees. That ranks it 747th among the nation’s 5,657 independent wealth management RIAs and 19th of 104 in Maryland. It reports 2 custodians for its clients’ separately managed accounts: Goldman Sachs and Charles Schwab.
Main office 202-580-6400sargentinvestmentgroup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #747 of 5,657
- Rank among all SEC RIAs
- #4,310 of 17,210
- Rank in Maryland
- #19 of 104
- Individual clients
- 396
- High-net-worth clients
- 251
- Accounts
- 1,381
- Discretionary
- 79% of AUM
- Employees
- 18
- Advisory staff
- 13
- Offices
- 1
Owners and executives on its Form ADV
- Brian D. McGregorChief Executive Officer/managing Member
- Teresa M. SchaferChief Compliance Officer
- Christopher N. RhyneManaging Member
- Edward H LamadeChief Investment Officer/member
- Christopher S. SargentManager
- Ricardo M. RosenbergManager
- Laura A. HespeChief Operating Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Sargent Investment Group reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 251 | $1.3B | 90% |
| Charitable organizations | 11 | $60M | 4% |
| Individuals | 145 | $59M | 4% |
| Corporations or other businesses | – | $22M | 1% |
Private funds
Sargent Investment Group reports 1 private funds with $10M in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Sargent Investment Group reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗sargentinvestmentgroup.com ↗
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Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
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- Growth over one, three and five years
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- Rank against 2,554 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Maryland
All of Maryland →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Scarborough Capital ManagementAnnapolis | $1.6B | 2,664 |
| Tritonpoint Wealth, LLCChevy Chase | $1.5B | 338 |
| Edgemoor Investment Advisors, Inc.Bethesda | $1.5B | 312 |
| MV Capital Management, Inc.Bethesda | $1.4B | 444 |
| Black Diamond Financial, LLCLutherville | $1.4B | 335 |
| Sc&h WealthHunt Valley | $1.2B | 668 |
Background
Questions
How much does Sargent Investment Group manage?
Sargent Investment Group reports $1.5B in regulatory assets under management across 1,381 accounts, 79% of it on a discretionary basis, on its Form ADV filed May 26, 2026.
How many clients does Sargent Investment Group have?
It reports 396 individual clients: 251 high-net-worth individuals and 145 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Sargent Investment Group headquartered?
Its main office is in Bethesda, Maryland. It reports 1 office in total and 18 employees, 13 of whom perform investment advisory functions.
How does Sargent Investment Group charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Sargent Investment Group use?
It reports 2 custodians for its clients’ separately managed accounts: Goldman Sachs and Charles Schwab. On Schedule D of its Form ADV filed May 26, 2026, it reports these amounts held: Goldman Sachs ($1.3B); Charles Schwab ($190M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Sargent Investment Group a hybrid RIA with a broker-dealer?
Sargent Investment Group reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Sargent Investment Group a fiduciary?
As an SEC-registered investment adviser, Sargent Investment Group owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Sargent Investment Group’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-26), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →