{"url":"https://nivawealth.com/firms/lucien-stirling-and-gray-advisory-group-112641","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/112641","regulatoryAum":146558414,"crd":"112641","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1296874","suffix":null,"lastName":"TWOMBLY","firstName":"THOMAS","middleName":"GRAY"},{"crd":"6015147","suffix":null,"lastName":"VASQUEZ","firstName":"CHRISTOPHER","middleName":"JACOB"},{"crd":"3248303","suffix":null,"lastName":"WARD","firstName":"MARK","middleName":"ALLEN"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-01-28","regulatoryAum":173463561,"clients":265,"employees":3,"offices":1},{"filedOn":"2022-03-02","regulatoryAum":130251000,"clients":153,"employees":7,"offices":1},{"filedOn":"2023-03-17","regulatoryAum":98445020,"clients":153,"employees":5,"offices":1},{"filedOn":"2024-02-20","regulatoryAum":107269665,"clients":158,"employees":5,"offices":1},{"filedOn":"2025-03-18","regulatoryAum":130909613,"clients":145,"employees":5,"offices":1},{"filedOn":"2026-03-11","regulatoryAum":146558414,"clients":147,"employees":5,"offices":1}],"secFileNumber":"801-79381","legalName":"Lucien Stirling & Gray Advisory Group Inc","displayName":"Lucien Stirling & Gray Advisory Group","slug":"lucien-stirling-and-gray-advisory-group-112641","website":"https://lsggroup.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/112641/3984175eacadd7fc-r1.webp","tone":"light","width":838,"height":200,"sourceUrl":"https://www.lsggroup.com/","sourceLabel":"Lucien Stirling & Gray Advisory Group INC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/lucien-stirling-&-gray-advisory-group-inc-","founded":null,"organization":"Texas corporation","fiscalYearEnd":"December","headquarters":{"street":"7800 N. Mopac Expy, Suite 340","city":"Austin","state":"TX","stateName":"Texas","country":"United States","postalCode":"78759"},"tradeNames":[],"registration":{"secApproved":"3 April 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":983736.6780821917,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":146558414,"discretionary":102228320,"discretionaryAccounts":310,"nonDiscretionary":44330094,"nonDiscretionaryAccounts":264,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":19},"clientTypes":[{"label":"Individuals (other than HNW)","clients":96,"regulatoryAum":34899571},{"label":"High-net-worth individuals","clients":50,"regulatoryAum":108725984},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":2932859}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017520","versionId":1017520,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-11","documentName":"PT IIA 170314","fee_rate_low":0.4,"fee_rate_high":1.5,"fee_negotiable":null,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consultative Services","summary":"Consultative services apart from asset management are billed at $350.00 per hour or fraction thereof.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017520","versionId":1017520,"submittedOn":"2026-03-11","documentName":"PT IIA 170314"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:13:58.281496+00:00","documents":[{"name":"PT IIA 170314","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017520","versionId":1017520,"submittedOn":"2026-03-11"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":99444449},{"name":"Capital Group, Inc.","shortName":"Capital Group","location":"Los Angeles, CA","smaAssets":5994587}],"custodyNote":"Lucien Stirling & Gray Advisory Group has custody of $116M for 126 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Twombly","title":"President / Chief Compliance Officer","crd":"1296874"}],"ownership":[{"label":"Thomas Twombly","detail":"President / chief compliance officer in the 75% or more ownership band and a control person, since July 2001."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"7800 N. Mopac Expy, Suite 340","city":"Austin","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"512-458-2517","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":82},{"label":"Cash and cash equivalents","percent":12}],"privateFunds":0},"sources":{"adv1FilingDate":"11 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/112641/PDF/112641.pdf","brochureDate":"11 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017520","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Lucien Stirling & Gray Advisory Group have?","answer":"Lucien Stirling & Gray Advisory Group has 147 clients and manages $147 million for them, as of March 2026. They include 96 individual clients, 50 high-net-worth individuals and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Lucien Stirling & Gray Advisory Group offer?","answer":"Lucien Stirling & Gray Advisory Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Lucien Stirling & Gray Advisory Group charge?","answer":"Lucien Stirling & Gray Advisory Group charges 0.40%–1.50% a year for its Asset Management. The fee is billed in advance and requires an account of at least $500,000.","source":"PT IIA 170314, filed 11 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Lucien Stirling & Gray Advisory Group use?","answer":"Lucien Stirling & Gray Advisory Group’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $99.4M and Capital Group, Inc. (Los Angeles, CA), with $5.99M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Lucien Stirling & Gray Advisory Group have?","answer":"Lucien Stirling & Gray Advisory Group has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Lucien Stirling & Gray Advisory Group invest in?","answer":"At the end of its last fiscal year, Lucien Stirling & Gray Advisory Group’s separately managed accounts held 82% registered funds (mutual funds, ETFs, BDCs), 12% cash and equivalents, 2% exchange-traded equities, 1% non-exchange-traded equities, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Lucien Stirling & Gray Advisory Group have a minimum investment?","answer":"Yes, Lucien Stirling & Gray Advisory Group’s minimum account size for its Asset Management is $500K.","source":"PT IIA 170314, filed 11 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Lucien Stirling & Gray Advisory Group?","answer":"Lucien Stirling & Gray Advisory Group’s direct owner is Thomas Twombly (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 11 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Lucien Stirling & Gray Advisory Group get paid?","answer":"Lucien Stirling & Gray Advisory Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Lucien Stirling & Gray Advisory Group?","answer":"Lucien Stirling & Gray Advisory Group’s main office is at 7800 N. Mopac Expy, Suite 340, Austin, TX 78759. Its phone number is 512-458-2517. Its website is lsggroup.com.","source":"Form ADV Part 1A, Item 1.F, filed 11 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}