# Sargent Investment Group

> 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.

- CRD: 297499
- Filed as: SARGENT INVESTMENT GROUP
- Legal name: Sargent Investment Group, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Bethesda, MD
- Filing period: October 2026
- Form ADV filing dated: May 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/297499
- AdvisorCensus page: https://advisorcensus.com/firm/sargent-investment-group-bethesda-md-297499

## Quick answers

**How is Sargent Investment Group compensated?**
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).

**How much does Sargent Investment Group charge?**
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.

**Where is Sargent Investment Group located?**
Sargent Investment Group's principal office is in Bethesda, MD, according to its Form ADV.

**Is Sargent Investment Group registered with the SEC or a state?**
Sargent Investment Group is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 297499.

**How much does Sargent Investment Group manage?**
Sargent Investment Group reports $1,475,799,413 in regulatory assets under management in its Form ADV filing dated May 26, 2026 (79% discretionary).

**How have Sargent Investment Group's assets and staff changed since 2021?**
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.

**What types of clients does Sargent Investment Group serve?**
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).

**Which custodians does Sargent Investment Group use?**
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.

**Does Sargent Investment Group report any disciplinary disclosures?**
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

**What changed in Sargent Investment Group's recent Form ADV filings?**
In the June 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated May 26, 2026)

- Asset-based fee: up to 1.25% of assets a year (the maximum the brochure states)

> 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%.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Goldman Sachs Custody Solutions

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.

### Regulatory assets under management (Item 5.F)
- Total: $1,475,799,413
- Discretionary: $1,165,082,546
- Non-discretionary: $310,716,867

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 145 | $59,284,775 |
| High net worth individuals | 251 | $1,335,148,332 |
| Charitable organizations | 11 | $59,642,480 |
| Corporations or other businesses not listed above | Fewer than 5 | $21,723,826 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2018 (8 years)
- Employees: 18 total, 13 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, DC, DE, FL, GA, LA, MA, MD, ME, NC, NH, NJ, NM, NY, OR, PA, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sargentinvestmentgroup.com
- LinkedIn @sargentinvestmentgroup

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,095,086,000 | 12 | September 8, 2021 |
| October 2022 | $1,202,666,892 | 13 | August 22, 2022 |
| October 2023 | $1,012,662,000 | 13 | July 6, 2023 |
| October 2024 | $1,146,796,701 | 13 | April 16, 2024 |
| October 2025 | $1,282,044,465 | 15 | April 30, 2025 |
| October 2026 | $1,475,799,413 | 18 | May 26, 2026 |

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.

## Changes in the filing (last 12 months)

### June 2026
- Updated its list of owners and control persons (Schedule A).

### March 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sargent Investment Group (CRD 297499): Form ADV filing data as of October 2026.