Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Lmcg Investments, LLC
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
KENNETH LESLIE SWANDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
10% to < 25%
TEMPERANCE WEALTH PARTNERS LPDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
10% to < 25%
III JOSEPH F TOWERDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
JOHN RODNEY LAYTONDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
DAVID LAWRENCE WEEKSDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
AJIT KUMARDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
NAN-MARIE JAEGERDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
ANDREAS ECKNERDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
GUILLAUME HORELDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
EDWIN YU ON TSUIDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
RICHARD JOSEPH GANONGDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
5% to < 10%
JASON ADAM SELTZERDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
< 5%
JOHN DANIEL DESPOTOPULOSDirect owner · Schedule AInterest in LMCG INVESTMENTS, LLC
< 5%
TEMPERANCE PARTNERS INC.Indirect owner · Schedule BInterest in TEMPERANCE WEALTH PARTNERS LP
75%+
TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP IIIndirect owner · Schedule BInterest in TEMPERANCE PARTNERS INC.
75%+
JDS TPLP TRUSTIndirect owner · Schedule BInterest in TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II
75%+
PAUL JOSEPH SORBARAIndirect owner · Schedule BInterest in JDS TPLP TRUST
25% to < 50%
JULIA CATHERINE SORBARAIndirect owner · Schedule BInterest in JDS TPLP TRUST
25% to < 50%
THOMAS ANTHONY SORBARAIndirect owner · Schedule BInterest in JDS TPLP TRUST
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Lmcg Investments, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-04-09 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | III JOSEPH F TOWERMANAGING MEMBER, BOARD MEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | Yes | MANAGING MEMBER, BOARD MEMBER05/2009 | Schedule APDF page 32 |
| 2 | KENNETH LESLIE SWANPRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBERIndividual | LMCG INVESTMENTS, LLC | 10% to less than 25%Code B | Yes | PRESIDENT, CHIEF EXECUTIVE OFFICER, BOARD MEMBER07/2009 | Schedule APDF page 32 |
| 3 | EDMUND H PRICECHIEF LEGAL OFFICERIndividual | LMCG INVESTMENTS, LLC | Less than 5%Code NA | No | CHIEF LEGAL OFFICER09/2015 | Schedule APDF page 33 |
| 4 | JOHN RODNEY LAYTONMEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | No | MEMBER03/2022 | Schedule APDF page 33 |
| 5 | DAVID LAWRENCE WEEKSMEMBER/BOARD MEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | Yes | MEMBER/BOARD MEMBER03/2022 | Schedule APDF page 33 |
| 6 | AJIT KUMARMEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | No | MEMBER03/2022 | Schedule APDF page 33 |
| 7 | NAN-MARIE JAEGERMEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | No | MEMBER03/2022 | Schedule APDF page 33 |
| 8 | ANDREAS ECKNERMEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | No | MEMBER03/2022 | Schedule APDF page 33 |
| 9 | GUILLAUME HORELMEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | No | MEMBER03/2022 | Schedule APDF page 33 |
| 10 | EDWIN YU ON TSUIMEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | No | MEMBER03/2022 | Schedule APDF page 33 |
| 11 | RICHARD JOSEPH GANONGMEMBER/BOARD MEMBERIndividual | LMCG INVESTMENTS, LLC | 5% to less than 10%Code A | Yes | MEMBER/BOARD MEMBER03/2022 | Schedule APDF page 33 |
| 12 | JASON ADAM SELTZERBOARD MEMBERIndividual | LMCG INVESTMENTS, LLC | Less than 5%Code NA | Yes | BOARD MEMBER03/2022 | Schedule APDF page 33 |
| 13 | TEMPERANCE WEALTH PARTNERS LPMEMBERDomestic entity | LMCG INVESTMENTS, LLC | 10% to less than 25%Code B | No | MEMBER03/2022 | Schedule APDF page 33 |
| 14 | JOHN DANIEL DESPOTOPULOSMEMBER, CHIEF OPERATING OFFICERIndividual | LMCG INVESTMENTS, LLC | Less than 5%Code NA | Yes | MEMBER, CHIEF OPERATING OFFICER04/2026 | Schedule APDF page 33 |
| 15 | BROOKE A. REGANCHIEF COMPLIANCE OFFICERIndividual | LMCG INVESTMENTS, LLC | Less than 5%Code NA | No | CHIEF COMPLIANCE OFFICER04/2026 | Schedule APDF page 33 |
| 16 | TEMPERANCE PARTNERS INC.OWNERDomestic entity | TEMPERANCE WEALTH PARTNERS LP | 75% or moreCode E | Yes | OWNER10/2015 | Schedule BPDF page 33 |
| 17 | JASON ADAM SELTZERVICE PRESIDENT, TEMPERANCE PARTNERS INC.Individual | TEMPERANCE PARTNERS INC. | Percentage not specifiedCode F | Yes | VICE PRESIDENT, TEMPERANCE PARTNERS INC.10/2019 | Schedule BPDF page 33 |
| 18 | KEVIN DOUGLAS TICEPRESIDENT, TEMPERANCE PARTNERS INC.Individual | TEMPERANCE PARTNERS INC. | Percentage not specifiedCode F | Yes | PRESIDENT, TEMPERANCE PARTNERS INC.10/2015 | Schedule BPDF page 33 |
| 19 | PAUL JOSEPH SORBARAVICE PRESIDENT, TEMPERANCE PARTNERS INC.Individual | TEMPERANCE PARTNERS INC. | Percentage not specifiedCode F | Yes | VICE PRESIDENT, TEMPERANCE PARTNERS INC.10/2015 | Schedule BPDF page 33 |
| 20 | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP IISHARE-HOLDER OWNERForeign entity | TEMPERANCE PARTNERS INC. | 75% or moreCode E | Yes | SHARE-HOLDER OWNER10/2015 | Schedule BPDF page 33 |
| 21 | TEMPERANCE PARTNERS GP I LIMITEDGENERAL PARTNERForeign entity | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | Percentage not specifiedCode F | Yes | GENERAL PARTNER06/2015 | Schedule BPDF page 33 |
| 22 | PAUL JOSEPH SORBARAVICE PRESIDENT, TEMPERANCE PARTNERS GP I LIMITEDIndividual | TEMPERANCE PARTNERS GP I LIMITED | Percentage not specifiedCode F | Yes | VICE PRESIDENT, TEMPERANCE PARTNERS GP I LIMITED01/2011 | Schedule BPDF page 34 |
| 23 | KEVIN DOUGLAS TICEPRESIDENT, TEMPERANCE PARTNERS GP I LIMITEDIndividual | TEMPERANCE PARTNERS GP I LIMITED | Percentage not specifiedCode F | Yes | PRESIDENT, TEMPERANCE PARTNERS GP I LIMITED01/2011 | Schedule BPDF page 34 |
| 24 | JDS TPLP TRUSTLIMITED PARTNER OWNERForeign entity | TEMPERANCE PARTNERS (CANADA) LIMITED PARTNERSHIP II | 75% or moreCode E | Yes | LIMITED PARTNER OWNER10/2014 | Schedule BPDF page 34 |
| 25 | PAUL JOSEPH SORBARATRUSTEE, JDS TPLP TRUSTIndividual | JDS TPLP TRUST | 25% to less than 50%Code C | Yes | TRUSTEE, JDS TPLP TRUST03/2011 | Schedule BPDF page 34 |
| 26 | JULIA CATHERINE SORBARATRUSTEE, JDS TPLP TRUSTIndividual | JDS TPLP TRUST | 25% to less than 50%Code C | Yes | TRUSTEE, JDS TPLP TRUST03/2011 | Schedule BPDF page 34 |
| 27 | THOMAS ANTHONY SORBARATRUSTEE, JDS TPLP TRUSTIndividual | JDS TPLP TRUST | 25% to less than 50%Code C | Yes | TRUSTEE, JDS TPLP TRUST03/2011 | Schedule BPDF page 34 |
| 28 | TEMPERANCE WEALTH PARTNERS INC.GENERAL PARTNERDomestic entity | TEMPERANCE WEALTH PARTNERS LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER10/2015 | Schedule BPDF page 34 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 4/9/2026 1:32:05 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.