LOMBARD ADVISERS INCORPORATED
Adviser information for LOMBARD ADVISERS INCORPORATED last updated from Form ADV on March 27th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 44 |
|---|---|
| Investment Advisory/Research | 33 |
| Registered Broker-Dealer Representatives | 36 |
| Registered State Investment Advisers | 33 |
| Licensed Agents of an Insurance Company | 27 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 524 | $167.5M |
| Non-Discretionary | 646 | $198.9M |
| Total | 1,170 | $366.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 795 | $187.1M |
| HNW Individuals | 45 | $130.9M |
| 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 | <5 | $2.2M |
| Charitable organizations | 9 | $45.4M |
| 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 | 2 | $750,552 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 28.1M |
| Both for Same | 338.3M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| LOMBARD ADVISERS INCORPORATED | LOMBARD ADVISERS INCORPORATED |
| PRIVATE ADVISOR NETWORK PROGRAM | WELLS FARGO CLEARING SERVICES, LLC |
Identifiers
| SEC RIA File Number | 801-114981 |
|---|---|
| SEC ERA File Number | 801-114981 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108231 |
| Legal Entity Identifier | None |
Principal Office
1820 LANCASTER STBALTIMORE
MD
United States
Monday - Friday, 08.00 - 16.00
Tel: 410-342-1300, Fax: 410-732-0303
Websites
Chief Compliance Officer
C. CURTIS FOX
PRESIDENT
1820 LANCASTER STREET
BALTIMORE
MD
United States
Tel:
410-342-1300
Fax:
410-732-0303
C***@************M
(Full email address available in API data)
Regulatory Contact
TERRY DONLAN WELKER
COMPLIANCE OFFICER
1820 LANCASTER STREET
BALTIMORE
MD
United States
Tel:
410-342-1300
Fax:
410-752-0303
T******@************M
(Full email address available in API data)
Industry Affiliates
| LOMBARD AGENCY | Insurance company or agency |
| LOMBARD SECURITIES INCORPORATED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SOCHA, WILLIAM, STEPHEN | Individual | – | CHIEF FINANCIAL OFFICER | 11/2000 | < 5% |
| LOMBARD SECURITIES INCORPORATED | Domestic Entity | – | 100% OWNER OF LOMBARD ADVISERS INCORPORATED | 08/1994 | > 75% |
| FOX, CHARLES, CURTIS | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2007 | < 5% |