SARGENT INVESTMENT GROUP
SARGENT INVESTMENT GROUP, LLC Legal Name
Adviser information for SARGENT INVESTMENT GROUP last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,458 | $788.4M |
| Non-Discretionary | 218 | $358.4M |
| Total | 1,676 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 156 | $67.3M |
| HNW Individuals | 238 | $978.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 6 | $41.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 13 | $58.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
4920 ELM STREETSUITE 305
BETHESDA
MD
United States
Monday - Friday, 8:00AM -5:00PM
Tel: (202) 580-6400, Fax: (202) 580-6410
Chief Compliance Officer
TERESA M. SCHAFER
4920 ELM STREET
SUITE 305
BETHESDA
MD
United States
Tel:
(202) 580-6400
Fax:
(202) 580-6410
T*******@*************************M
(Full email address available in API data)
Regulatory Contact
BRIAN MCGREGOR
MANAGING PRINCIPAL
4920 ELM STREET
SUITE 305
BETHESDA
MD
United States
Tel:
202-580-6400
B********@*************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROSENBERG, RICARDO, MARTIN | Individual | – | PRINCIPAL | 05/2018 | < 5% |
| MCGREGOR, BRIAN, DOUGLAS | Individual | – | PRINCIPAL | 05/2018 | 25-50% |
| SCHAFER, TERESA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2018 | < 5% |
| RHYNE, CHRISTOPHER, NEEL | Individual | – | PRINCIPAL | 01/2022 | 25-50% |
| RICARDO ROSENBERG FAMILY TRUST | Domestic Entity | – | MEMBER | 01/2022 | 10-25% |
| SORGE, CHRISTINE | Individual | RICARDO ROSENBERG FAMILY TRUST | TRUSTEE | 02/2022 | |
| ROSENBERG, NANCY | Individual | RICARDO ROSENBERG FAMILY TRUST | TRUSTEE | 01/2022 | |
| 2024 THAYER MCGREGOR FAMILY TRUST | Domestic Entity | – | MEMBER | 02/2024 | 10-25% |
| MCGREGOR, BRIAN, DOUGLAS | Individual | 2024 THAYER MCGREGOR FAMILY TRUST | TRUSTEE | 02/2024 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| FIRSTSERVICE CORP NEW | COM | 4M | 24K | – |
| FIRST TR EXCHANGE-TRADED FD | DJ INTERNT IDX | 2M | 8K | – |
| 3M CO | COM | 330K | 3K | – |
| ABBOTT LABS | COM | 5M | 46K | – |
| ABBVIE INC | COM | 8M | 46K | – |
| ABRDN WORLD HEALTHCARE FUND | BEN INT SHS | 263K | 20K | – |
| ADOBE INC | COM | 903K | 2K | – |
| ADVANCED MICRO DEVICES INC | COM | 510K | 3K | – |
| AKOUSTIS TECHNOLOGIES INC | COM | 120K | 914K | – |
| ALLISON TRANSMISSION HLDGS I | COM | 231K | 3K | – |
| ALPHABET INC | CAP STK CL C | 6M | 31K | – |
| ALPHABET INC | CAP STK CL A | 7M | 38K | – |
| AMAZON COM INC | COM | 9M | 48K | – |
| AMDOCS LTD | SHS | 289K | 4K | – |
| AMERICAN EXPRESS CO | COM | 2M | 9K | – |
| AMERICAN TOWER CORP NEW | COM | 303K | 2K | – |
| AMERICAN WTR WKS CO INC NEW | COM | 349K | 3K | – |
| AMETEK INC | COM | 294K | 2K | – |
| AMGEN INC | COM | 326K | 1K | – |
| AMPHENOL CORP NEW | CL A | 439K | 7K | – |
| ANALOG DEVICES INC | COM | 320K | 1K | – |
| AON PLC | SHS CL A | 424K | 1K | – |
| APA CORPORATION | COM | 825K | 28K | – |
| APPLE INC | COM | 33M | 157K | – |
| APPLIED MATLS INC | COM | 321K | 1K | – |
| ARCHER AVIATION INC | COM CL A | 838K | 238K | – |
| ARES CAPITAL CORP | COM | 6M | 266K | – |
| ASPEN AEROGELS INC | COM | 8M | 318K | – |
| ASSERTIO HOLDINGS INC | COM NEW | 20K | 16K | – |
| ATHIRA PHARMA INC | COM | 52K | 20K | – |
| ATOMERA INC | COM | 464K | 122K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 300K | 1K | – |
| AVALONBAY CMNTYS INC | COM | 212K | 1K | – |
| AVANTOR INC | COM | 338K | 16K | – |
| AVID BIOSERVICES INC | COM | 4M | 596K | – |
| BANK AMERICA CORP | COM | 2M | 52K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 1M | 2 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 8M | 20K | – |
| BLACKSTONE INC | COM | 11M | 86K | – |
| BLUEBIRD BIO INC | COM | 38K | 39K | – |
| BOEING CO | COM | 216K | 1K | – |
| BROADCOM INC | COM | 602K | 375 | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 454K | 6K | – |
| CANTALOUPE INC | COM | 10M | 2M | – |
| CAPITAL ONE FINL CORP | COM | 894K | 6K | – |
| CARLYLE GROUP INC | COM | 11M | 280K | – |
| CARNIVAL CORP | UNIT 99/99/9999 | 479K | 26K | – |
| CARRIER GLOBAL CORPORATION | COM | 3M | 41K | – |
| CATERPILLAR INC | COM | 2M | 5K | – |
| CEDAR FAIR L P | DEPOSITRY UNIT | 605K | 11K | – |
| CHEVRON CORP NEW | COM | 3M | 17K | – |
| CHUBB LIMITED | COM | 248K | 971 | – |
| CHURCHILL DOWNS INC | COM | 277K | 2K | – |
| CISCO SYS INC | COM | 249K | 5K | – |
| CITIGROUP INC | COM NEW | 448K | 7K | – |
| CIVITAS RESOURCES INC | COM NEW | 772K | 11K | – |
| COCA COLA CO | COM | 210K | 3K | – |
| COHEN & STEERS CLOSED-END OP | COM | 180K | 15K | – |
| COHEN & STEERS INFRASTRUCTUR | COM | 1M | 60K | – |
| COHEN & STEERS QUALITY INCOM | COM | 2M | 199K | – |
| COHERUS BIOSCIENCES INC | COM | 75K | 43K | – |
| COMCAST CORP NEW | CL A | 271K | 7K | – |
| CONOCOPHILLIPS | COM | 1M | 11K | – |
| CORNING INC | COM | 236K | 6K | – |
| COSTCO WHSL CORP NEW | COM | 3M | 4K | – |
| CREATIVE REALITIES INC | COM | 1M | 284K | – |
| CVS HEALTH CORP | COM | 254K | 4K | – |
| CYTOSORBENTS CORP | COM NEW | 1M | 1M | – |
| DANAHER CORPORATION | COM | 3M | 11K | – |
| DIGITALBRIDGE GROUP INC | CL A NEW | 447K | 33K | – |
| DISNEY WALT CO | COM | 519K | 5K | – |
| DRIL-QUIP INC | COM | 2M | 86K | – |
| DUKE ENERGY CORP NEW | COM NEW | 324K | 3K | – |
| EASTERLY GOVT PPTYS INC | COM | 887K | 72K | – |
| ECOLAB INC | COM | 458K | 2K | – |
| ELI LILLY & CO | COM | 2M | 3K | – |
| EMERSON ELEC CO | COM | 2M | 17K | – |
| ENERGY RECOVERY INC | COM | 4M | 314K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 620K | 21K | – |
| EXELIXIS INC | COM | 5M | 243K | – |
| EXXON MOBIL CORP | COM | 3M | 23K | – |
| FEDEX CORP | COM | 2M | 6K | – |
| FIRST TR EXCHANGE TRAD FD VI | FST TR GLB FD | 4M | 148K | – |
| FIRST TR EXCHANGE TRADED FD | FINLS ALPHADEX | 255K | 6K | – |
| FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 364K | 3K | – |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 12M | 214K | – |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 12M | 146K | – |
| FIRST TR EXCHANGE-TRADED FD | DORSEY WRT 5 ETF | 497K | 9K | – |
| FIRST TR EXCHANGE-TRADED FD | NASDQ ARTFCIAL | 2M | 44K | – |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 622K | 13K | – |
| FIRST TR LRGE CP CORE ALPHA | COM SHS | 404K | 4K | – |
| FIRST TR MORNINGSTAR DIVID L | SHS | 2M | 65K | – |
| FIRST TR VALUE LINE DIVID IN | SHS | 733K | 18K | – |
| FISERV INC | COM | 685K | 5K | – |
| FORD MTR CO DEL | COM | 2M | 188K | – |
| FRANKLIN ELEC INC | COM | 260K | 3K | – |
| FREEPORT-MCMORAN INC | CL B | 491K | 10K | – |
| GABELLI DIVID & INCOME TR | COM | 380K | 17K | – |
| GE AEROSPACE | COM NEW | 2M | 15K | – |
| GE HEALTHCARE TECHNOLOGIES I | COMMON STOCK | 332K | 4K | – |
| GE VERNOVA INC | COM | 662K | 4K | – |
| GINKGO BIOWORKS HOLDINGS INC | CL A SHS | 37K | 110K | – |
| GLYCOMIMETICS INC | COM | 28K | 100K | – |
| GOLDMAN SACHS GROUP INC | COM | 552K | 1K | – |
| HENRY SCHEIN INC | COM | 237K | 4K | – |
| HOME DEPOT INC | COM | 2M | 7K | – |
| HONEYWELL INTL INC | COM | 332K | 2K | – |
| HUNTINGTON INGALLS INDS INC | COM | 225K | 915 | – |
| ILLINOIS TOOL WKS INC | COM | 396K | 2K | – |
| INTEL CORP | COM | 271K | 9K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 340K | 2K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 11M | 62K | – |
| INTUIT | COM | 1M | 2K | – |
| INTUITIVE SURGICAL INC | COM NEW | 267K | 601 | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 207K | 1K | – |
| IRON MTN INC DEL | COM | 11M | 126K | – |
| ISHARES INC | MSCI MEXICO ETF | 378K | 7K | – |
| ISHARES TR | MSCI EAFE ETF | 264K | 3K | – |
| ISHARES TR | ISHARES SEMICDTR | 1M | 5K | – |
| ISHARES TR | RUSSELL 3000 ETF | 250K | 810 | – |
| J P MORGAN EXCHANGE TRADED F | INCOME ETF | 330K | 7K | – |
| J P MORGAN EXCHANGE TRADED F | SHORT DURA CORE | 272K | 6K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 3M | 51K | – |
| JOHNSON & JOHNSON | COM | 3M | 22K | – |
| JOINT CORP | COM | 150K | 11K | – |
| JPMORGAN CHASE & CO. | COM | 4M | 21K | – |
| KINDER MORGAN INC DEL | COM | 2M | 85K | – |
| LINDE PLC | SHS | 2M | 4K | – |
| LOCKHEED MARTIN CORP | COM | 476K | 1K | – |
| MARRIOTT INTL INC NEW | CL A | 1M | 5K | – |
| MASTERCARD INCORPORATED | CL A | 4M | 9K | – |
| MATINAS BIOPHARMA HLDGS INC | COM | 553K | 3M | – |
| MATTEL INC | COM | 922K | 57K | – |
| MCDONALDS CORP | COM | 280K | 1K | – |
| MEDIWOUND LTD | SHS NEW | 2M | 119K | – |
| MERCADOLIBRE INC | COM | 820K | 499 | – |
| MERCK & CO INC | COM | 2M | 14K | – |
| META PLATFORMS INC | CL A | 945K | 2K | – |
| MICROSOFT CORP | COM | 21M | 47K | – |
| MITEK SYS INC | COM NEW | 3M | 285K | – |
| MONDELEZ INTL INC | CL A | 307K | 5K | – |
| NEXTERA ENERGY INC | COM | 223K | 3K | – |
| NIKE INC | CL B | 412K | 5K | – |
| NORTHROP GRUMMAN CORP | COM | 1M | 3K | – |
| NOVAVAX INC | COM NEW | 390K | 31K | – |
| NOVO-NORDISK A S | ADR | 254K | 2K | – |
| NVIDIA CORPORATION | COM | 5M | 40K | – |
| ORACLE CORP | COM | 2M | 13K | – |
| OREILLY AUTOMOTIVE INC | COM | 214K | 203 | – |
| OUTSET MED INC | COM | 99K | 26K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 14M | 547K | – |
| PALO ALTO NETWORKS INC | COM | 227K | 670 | – |
| PAYCHEX INC | COM | 299K | 3K | – |
| PEPSICO INC | COM | 924K | 6K | – |
| PFIZER INC | COM | 244K | 9K | – |
| PGIM ETF TR | PGIM ULTRA SH BD | 2M | 38K | – |
| PHILIP MORRIS INTL INC | COM | 384K | 4K | – |
| PROCTER AND GAMBLE CO | COM | 2M | 12K | – |
| PROGRESSIVE CORP | COM | 646K | 3K | – |
| PROSPERITY BANCSHARES INC | COM | 242K | 4K | – |
| QUALCOMM INC | COM | 4M | 22K | – |
| RACKSPACE TECHNOLOGY INC | COM | 641K | 215K | – |
| RELMADA THERAPEUTICS INC | COM | 64K | 21K | – |
| REVANCE THERAPEUTICS INC | COM | 33K | 13K | – |
| ROLLINS INC | COM | 326K | 7K | – |
| RYAN SPECIALTY HOLDINGS INC | CL A | 395K | 7K | – |
| SALESFORCE INC | COM | 1M | 5K | – |
| SAUL CTRS INC | COM | 222K | 6K | – |
| SCHLUMBERGER LTD | COM STK | 343K | 7K | – |
| SCHWAB CHARLES CORP | COM | 260K | 4K | – |
| SERVICE CORP INTL | COM | 417K | 6K | – |
| SERVICENOW INC | COM | 205K | 261 | – |
| SHELL PLC | SPON ADS | 283K | 4K | – |
| SIXTH STREET SPECIALTY LENDI | COM | 606K | 28K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 211K | 387 | – |
| SPDR SER TR | PRTFLO S&P500 GW | 13M | 162K | – |
| SPDR SER TR | PRTFLO S&P500 VL | 8M | 174K | – |
| SPDR SER TR | S&P BIOTECH | 431K | 5K | – |
| SPDR SER TR | BLOOMBERG 3-12 M | 48M | 486K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 8M | 85K | – |
| STARBUCKS CORP | COM | 614K | 8K | – |
| STARWOOD PPTY TR INC | COM | 4M | 198K | – |
| STRYKER CORPORATION | COM | 265K | 779 | – |
| SUMMIT THERAPEUTICS INC | COM | 562K | 72K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 509K | 3K | – |
| TARGET CORP | COM | 583K | 4K | – |
| TARSUS PHARMACEUTICALS INC | COM | 220K | 8K | – |
| TELLURIAN INC NEW | COM | 10K | 15K | – |
| TERAWULF INC | COM | 801K | 180K | – |
| TESLA INC | COM | 1M | 6K | – |
| TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADS | 2M | 123K | – |
| THE ALGER ETF TRUST | MID CAP 40 ETF | 1M | 72K | – |
| THE TRADE DESK INC | COM CL A | 826K | 8K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 365K | 660 | – |
| TJX COS INC NEW | COM | 559K | 5K | – |
| TOOTSIE ROLL INDS INC | COM | 214K | 7K | – |
| TRANSOCEAN LTD | REGISTERED SHS | 364K | 68K | – |
| ULTA BEAUTY INC | COM | 426K | 1K | – |
| UNION PAC CORP | COM | 834K | 4K | – |
| UNITED BANKSHARES INC WEST V | COM | 248K | 8K | – |
| UNITED RENTALS INC | COM | 354K | 547 | – |
| UNITEDHEALTH GROUP INC | COM | 2M | 4K | – |
| UNIVERSAL DISPLAY CORP | COM | 13M | 64K | – |
| VANECK ETF TRUST | INTRMDT MUNI ETF | 311K | 7K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 428K | 855 | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 206K | 1K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 230K | 860 | – |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 875K | 17K | – |
| VERIZON COMMUNICATIONS INC | COM | 252K | 6K | – |
| VICTORY PORTFOLIOS II | CORE INTERMEDIAT | 8M | 163K | – |
| VISA INC | COM CL A | 819K | 3K | – |
| VULCAN MATLS CO | COM | 631K | 3K | – |
| WALMART INC | COM | 5M | 71K | – |
| WEST PHARMACEUTICAL SVSC INC | COM | 237K | 719 | – |
| WHEATON PRECIOUS METALS CORP | COM | 1M | 21K | – |
| WISDOMTREE TR | US MIDCAP FUND | 330K | 6K | – |
| WORLD GOLD TR | SPDR GLD MINIS | 884K | 19K | – |
| XEROX HOLDINGS CORP | COM NEW | 2M | 139K | – |
| XPO INC | COM | 1M | 10K | – |
| ZOETIS INC | CL A | 802K | 5K | – |