{
  "crd_number": 297499,
  "slug": "sargent-investment-group-bethesda-md-297499",
  "primary_business_name": "SARGENT INVESTMENT GROUP",
  "legal_name": "SARGENT INVESTMENT GROUP, LLC",
  "dbas": [],
  "city": "Bethesda",
  "state": "MD",
  "country": "United States",
  "cbsa_code": "47900",
  "metro": {
    "cbsa_code": "47900",
    "common_name": "Washington",
    "msa_name": "Washington-Arlington-Alexandria, DC-VA-MD-WV",
    "path": "/advisors/dc/washington"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-07-06",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-05-26",
  "carried_forward": false,
  "raum_total": 1475799413.0,
  "raum_discretionary": 1165082546.0,
  "raum_non_discretionary": 310716867.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 18,
  "advisory_employees": 13,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 59642480.0,
      "count": 11
    },
    "individuals": {
      "raum": 59284775.0,
      "count": 145
    },
    "high_net_worth_individuals": {
      "raum": 1335148332.0,
      "count": 251
    },
    "corporations_other_businesses": {
      "raum": 21723826.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "LA",
    "MA",
    "MD",
    "ME",
    "NC",
    "NH",
    "NJ",
    "NM",
    "NY",
    "OR",
    "PA",
    "TX",
    "VA"
  ],
  "websites": [
    "https://linkedin.com/company/sargentinvestmentgroup",
    "https://sargentinvestmentgroup.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/297499",
  "city_as_filed": "BETHESDA",
  "url": "https://advisorcensus.com/firm/sargent-investment-group-bethesda-md-297499",
  "display_name": "Sargent Investment Group",
  "summary": "Sargent Investment Group is an SEC-registered investment advisory firm in Bethesda, MD, registered since 2018, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 26, 2026.",
  "citation": "AdvisorCensus. Sargent Investment Group (CRD 297499): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Sargent Investment Group compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Sargent Investment Group reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Sargent Investment Group charge?",
      "a": "Its Form ADV Part 2A brochure dated May 26, 2026 states: Asset-based fee: up to 1.25% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Sargent Investment Group located?",
      "a": "Sargent Investment Group's principal office is in Bethesda, MD, according to its Form ADV."
    },
    {
      "q": "Is Sargent Investment Group registered with the SEC or a state?",
      "a": "Sargent Investment Group is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 297499."
    },
    {
      "q": "How much does Sargent Investment Group manage?",
      "a": "Sargent Investment Group reports $1,475,799,413 in regulatory assets under management in its Form ADV filing dated May 26, 2026 (79% discretionary)."
    },
    {
      "q": "How have Sargent Investment Group's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Sargent Investment Group: Regulatory assets under management: $1,095,086,000 in the October 2021 data and $1,475,799,413 in the October 2026 data, up 35%. Total employees: 12 in October 2021 and 18 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Sargent Investment Group serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (251); individuals (other than high net worth individuals) (145); charitable organizations (11)."
    },
    {
      "q": "Which custodians does Sargent Investment Group use?",
      "a": "Sargent Investment Group's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Goldman Sachs Custody Solutions as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Sargent Investment Group report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/297499"
    },
    {
      "q": "What changed in Sargent Investment Group's recent Form ADV filings?",
      "a": "In the June 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1095086000.0,
      "total_employees": 12,
      "filing_date": "2021-09-08"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1202666892.0,
      "total_employees": 13,
      "filing_date": "2022-08-22"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1012662000.0,
      "total_employees": 13,
      "filing_date": "2023-07-06"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1146796701.0,
      "total_employees": 13,
      "filing_date": "2024-04-16"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1282044465.0,
      "total_employees": 15,
      "filing_date": "2025-04-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1475799413.0,
      "total_employees": 18,
      "filing_date": "2026-05-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Employees performing advisory functions went from 12 to 13.",
        "Regulatory assets under management went from $1,282,044,465 to $1,475,799,413 (+15%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated May 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "1.25% of assets a year",
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 1.25% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "SIG’s maximum standard fee is 1%, except where the $2 million household minimum is waived. In circumstances where the minimum household assets under management is waived, the maximum fee charged is 1.25%."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 1.25,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "SIG’s maximum standard fee is 1%, except where the $2 million household minimum is waived. In circumstances where the minimum household assets under management is waived, the maximum fee charged is 1.25%."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Goldman Sachs Custody Solutions",
      "name_as_filed": "GOLDMAN SACHS CUSTODY SOLUTIONS",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/sargent-investment-group-bethesda-md-297499.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 145,
      "fewer_than_5": false,
      "raum": 59284775.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 251,
      "fewer_than_5": false,
      "raum": 1335148332.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 11,
      "fewer_than_5": false,
      "raum": 59642480.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": 21723826.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/297499",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}