Sargent Investment Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, pension consulting, selecting other managers, education planning, estate planning, insurance, and philanthropic planning. The firm advises 1 private fund.
Sargent Investment Group reports 407 clients. They include 251 high-net-worth individuals, 145 individual clients and 11 charitable organizations. Of its assets, 78.9% ($1.17B across 1,229 accounts) are managed with discretion; $311M across 152 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 36% | 4% |
| High-net-worth individuals | 62% | 90% |
| Charitable organizations | 3% | 4% |
| Corporations and other businesses | Fewer than 5 | 1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 145 | $59.3M | 4.0% | $409K |
| High-net-worth individuals | 251 | $1.34B | 90.5% | $5.32M |
| Charitable organizations | 11 | $59.6M | 4.0% | $5.42M |
| Corporations and other businesses | Fewer than 5 | $21.7M | 1.5% | — |
| Total | 407 | $1.48B | 100% | — |
- Clients
- 145
- Regulatory AUM
- $59.3M
- AUM share
- 4.0%
- Avg. per client
- $409K
- Clients
- 251
- Regulatory AUM
- $1.34B
- AUM share
- 90.5%
- Avg. per client
- $5.32M
- Clients
- 11
- Regulatory AUM
- $59.6M
- AUM share
- 4.0%
- Avg. per client
- $5.42M
- Clients
- Fewer than 5
- Regulatory AUM
- $21.7M
- AUM share
- 1.5%
- Avg. per client
- —
Total
- Clients
- 407
- Regulatory AUM
- $1.48B
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 1
- Financial planning clients last fiscal year
- 0
Sargent Investment Group charges up to 1.00% for its Investment Advisory Fees. The brochure does not state whether the rate is annual. The fee is billed in advance, is negotiable and requires an account of at least $2,000,000. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Financial planning and consulting are a one-time flat fee, or a yearly flat fee paid quarterly in advance, predicated on complexity and scope of services.
Brian McGregor owns 25% to 50% of Sargent Investment Group. Brian McGregor is CEO; the leadership team includes Chief Investment Officer Edward Lamade, Chief Operating Officer Laura Hespe and Chief Compliance Officer Teresa Schafer. It has 18 employees, 13 of them in advisory roles.
Leadership
- Brian McGregorChief Executive Officer/Managing Member
- Laura HespeChief Operating Officer
- Teresa SchaferChief Compliance Officer
- Edward LamadeChief Investment Officer/Member
- Ricardo RosenbergManager
- Christopher SargentManager
- Christopher RhyneManaging Member
Investment adviser representatives
14 representatives listed in the SEC register as of 9 October 2026.
- Samuel Ferguson Beach JR
- Matthew John Elmore
- Susette Gustini
- Thomas Rory Healy
- Laura E Hodgson
- Zachary Hubbard
- Edward H Lamade
- Brian Douglas McGregor
- Sara Jane Mongno
- Timothy Pang
- Christopher Neel Rhyne
- Ricardo Martin Rosenberg
- Christopher Smith Sargent
- David T Seamans
Staff
- 18 employees
- 13 in advisory functions
- 12 state-registered reps
- Owns 25% to 50% of Sargent Investment Group, LLC
Brian McGregor
Control person · since May 2018
- Owns 25% to 50% of Sargent Investment Group, LLC
2024 Thayer McGregor Family Trust
since February 2024
- Owns 25% to 50% of Sargent Investment Group, LLC
2024 Thayer McGregor Family
since February 2024
- Owns 10% to 25% of Sargent Investment Group, LLC
Christopher Rhyne
Control person · since January 2022
- Owns 5% to 10% of Sargent Investment Group, LLC
Edward Lamade
Control person · since April 2026
Sargent Investment Group’s regulatory assets grew from $1.1B (May 2021) to $1.48B (May 2026); clients were 407 in both filings and employees rose from 11 to 18.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| May 2026 | $1.48B | 407 | 18 | 1 |
| April 2025 | $1.28B | 384 | 15 | 1 |
| April 2024 | $1.15B | 413 | 13 | 1 |
| July 2023 | $1.01B | 407 | 13 | 1 |
| June 2022 | $1.2B | 401 | 13 | 1 |
| May 2021 | $1.1B | 401 | 11 | 1 |
Besides its headquarters, Sargent Investment Group has 0 offices, with 1 listed address in Maryland.
Maryland · 1 listed address
- 4920 Elm Street, Suite 305, BethesdaHQ
Contact and registration details
- Legal name
- Sargent Investment Group, LLC
- Headquarters
- 4920 Elm Street, Suite 305, Bethesda, MD 20814
- Website
- sargentinvestmentgroup.com
- Phone
- 202-580-6400
- @sargentinvestmentgroup
- SEC file
- 801-113542
- Founded
- 2018
- Structure
- Maryland LLC
- Fiscal year end
- December
Sargent Investment Group uses Folio Investments ($1.28B, 87%) and Charles Schwab ($190M, 13%) as custodians for its separately managed accounts. Sargent Investment Group has custody of $1.11B in client assets for 912 clients.
- Folio InvestmentsFolio Investments, Inc. · McLean, VA · $1.28B87%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $190M13%
At year end, Sargent Investment Group’s separately managed accounts were mostly in stocks (53%) and funds (41%). Its reported 13F holdings for the quarter ended 30 June 2026 total $832M across 279 positions; the largest are SPDR Series Trust (7.8%), Apple Inc. (6.3%) and Palantir Technologies Inc. (5.4%).
What the accounts hold
- Stocks53%
- Funds41%
- Registered funds37%
- Pooled vehicles4%
- Bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash3%
Reported 13F holdings
- $832M
- Reported 13F value
- 279
- Positions
- 37.3%
- In the 10 largest
- +9.5%
- Value vs. prior quarter
- SPDR Series Trust · ST Str BL 12 ETF7.8%
- Apple Inc.6.3%
- Palantir Technologies Inc. · CL A5.4%
- SPDR Series Trust · ST Str P500grw4.1%
- Microsoft Corp.2.7%
- Alphabet Inc. · Cap Stk CL A2.5%
- Victory Portfolios II · Core BD ETF2.3%
- Amazon Com Inc.2.2%
- Nvidia Corporation2.0%
- Iron Mtn Inc. Del2.0%
Together, the ten largest are 37.3% of reported value.
How many clients does Sargent Investment Group have?
Sargent Investment Group has 407 clients and manages $1.48 billion for them, as of May 2026. They include 251 high-net-worth individuals, 145 individual clients and 11 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 26 May 2026
What services does Sargent Investment Group offer?
Sargent Investment Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, pension consulting, selecting other managers, education planning, estate planning, insurance, and philanthropic planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Sargent Investment Group charge?
Sargent Investment Group charges up to 1.00% for its Investment Advisory Fees. The brochure does not state whether the rate is annual. The fee is billed in advance, is negotiable and requires an account of at least $2,000,000.
Which custodians does Sargent Investment Group use?
Sargent Investment Group’s separately managed account assets are held at Folio Investments, Inc. (McLean, VA), with $1.28B and Charles Schwab & Co., Inc. (San Francisco, CA), with $190M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 May 2026
How many financial advisors does Sargent Investment Group have?
Sargent Investment Group has 12 investment adviser representatives registered with state securities authorities, out of 18 employees, and 13 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
What does Sargent Investment Group invest in?
At the end of its last fiscal year, Sargent Investment Group’s separately managed accounts held 53% exchange-traded equities, 37% registered funds (mutual funds, ETFs, BDCs), 4% pooled vehicles (private funds and similar), 3% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds. It advises 1 private fund.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Sargent Investment Group have a minimum investment?
Yes, Sargent Investment Group’s minimum account size for its Investment Advisory Fees is $2M.
Who owns Sargent Investment Group?
Sargent Investment Group’s direct owners are Brian McGregor, Christopher Rhyne, 2024 Thayer McGregor Family Trust, 2024 Thayer McGregor Family and Edward Lamade, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 26 May 2026
How does Sargent Investment Group get paid?
Sargent Investment Group is paid through a percentage of assets under management 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
Is Sargent Investment Group registered with the SEC?
Yes, Sargent Investment Group has been registered with the SEC as an investment adviser since 6 July 2018. Its CRD number is 297499 and its SEC file number is 801-113542.
Source: Form ADV Part 1A, Item 1, filed 26 May 2026; IAPD firm record
How do I contact Sargent Investment Group?
Sargent Investment Group’s main office is at 4920 Elm Street, Suite 305, Bethesda, MD 20814. Its phone number is 202-580-6400. Its website is sargentinvestmentgroup.com.