LOMBARD
LOMBARD INVESTMENTS, INC. Legal Name
Adviser information for LOMBARD last updated from Form ADV on June 28th, 2023. 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 | MARCH |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 2 | $304.6M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $304.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $304.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74099 |
|---|---|
| SEC ERA File Number | 801-74099 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157418 |
| Legal Entity Identifier | None |
Principal Office
950 JOHN DALY BOULEVARDSUITE 260
DALY CITY
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 415-397-5900, Fax: None
Websites
Chief Compliance Officer
TIMOTHY PATRICK BURNS
GENERAL COUNSEL
950 JOHN DALY BOULEVARD
SUITE 260
DALY CITY
CA
United States
Tel:
415-397-5900
T*****@*********************M
(Full email address available in API data)
Regulatory Contact
SCOTT PIERCY SWEET
CHIEF FINANCIAL OFFICER
950 JOHN DALY BOULEVARD
SUITE 260
DALY CITY
CA
United States
Tel:
415-397-5900
S*****@*********************M
(Full email address available in API data)
Industry Affiliates
| LOMBARD ASIA ADVISORS LLC | Sponsor, GP, manager of pooled investment vehicles |
| LOMBARD ASIA IV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LOMBARD ASIA III L.P. | Private Equity Fund | $108.2M | $2.0M | 23 |
| LOMBARD ASIA IV, L.P. | Private Equity Fund | $196.4M | $2.0M | 24 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, JR., THOMAS, JOHNSTON | Individual | – | PRESIDENT | 06/2008 | 25-50% |
| SWEET, SCOTT, PIERCY | Individual | – | CHIEF FINANCIAL OFFICER | 03/1994 | 25-50% |
| SULLIVAN, PETER, HENRY | Individual | – | MEMBER, BOARD OF DIRECTORS | 03/2001 | 25-50% |
| BURNS, TIMOTHY, PATRICK | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 07/2015 | < 5% |