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SARGENT INVESTMENT GROUP
Legal name: SARGENT INVESTMENT GROUP, LLC
CRD 297499File 801-113542
APPROVED
Retail clients
Custody
Filing as of May 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.48B
Above cohort median (national)
Discretionary AUM
$1.17B
Non-discretionary $310.7M
Clients
407
1,381 accounts
Employees
18
Above cohort median in MD
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- Jul 6, 2018
- Principal office
- 4920 ELM STREET, SUITE 305, BETHESDA, MD, 20814
- Phone
- (202) 580-6400
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.48B
- Discretionary AUM
- $1.17B
- Non-discretionary AUM
- $310.7M
- Discretionary accounts
- 1,229
- Non-discretionary accounts
- 152
- Total accounts
- 1,381
- AUM per client
- $3.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $21.7M |
| Charitable organizations | 11 | $59.6M |
| High net worth individuals | 251 | $1.34B |
| Individuals (other than high net worth individuals) | 145 | $59.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 15 | 18 | increased by3 |
| Mar 1, 2026 | Clients | 384 | 407 | increased by23 |
| Mar 1, 2026 | AUM | $1,282,044,465 | $1,475,799,413 | increased by$193,754,948 |
| Mar 1, 2026 | Accounts | 1,258 | 1,381 | increased by123 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 13 | 15 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 401 | 384 | decreased by17 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,202,666,892 | $1,282,044,465 | increased by$79,377,573 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,055 | 1,258 | increased by203 |
| Apr 1, 2022 | AUM | $1,095,086,000 | $1,202,666,892 | increased by$107,580,892 |
| Apr 1, 2022 | Accounts | 1,071 | 1,055 | decreased by16 |
| Feb 1, 2022 | Employees | 12 | 13 | increased by1 |
| Oct 1, 2021 | Employees | 11 | 12 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SARGENT INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SARGENT INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.