Firm profile

Sargent Investment Group

BETHESDA, MDCRD 297499Registration Status: ApprovedEffective since July 6, 2018SEC # 801-113542Latest ADV May 26, 2026

Sargent Investment Group is an SEC registered investment adviser organized as a limited liability company with a primary office location in Bethesda, MD. Its latest Form ADV filing, dated May 26, 2026, reports $1.5B in regulatory assets under management, 18 employees, 1 office, and 1,381 accounts.

Assets Under Management
$1.5B
Employees
18
Offices
1 office
Total Clients
407

Associated firm names

3 names listed
  • MOSELEY INVESTMENTS, LLC
  • SARGENT INVESTMENT GROUP, LLC
  • SARGENT INVESTMENT GROUP

Leadership

4 roles identified
CEOBrian D. Mcgregor
CCOTeresa M. Schafer
COOLaura A. Hespe

Advisory services offered

5 types reported
Financial Planning Services
Pension consulting services
Portfolio management for individuals and small businesses

Fee models offered

2 types reported
Asset based fees
Fixed fees

Offices & Contact

Primary office

BETHESDA, Maryland, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Maryland

BETHESDAPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$1.5Bas of May 26, 2026
Discretionary78.9%
$1.2B
79% of total RAUM78.9%
Non-discretionary21.1%
$311M
21% of total RAUM21.1%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentHNWI represent 61.7% of total clients.
Top client categories% of clientsClients
1
HNWI
61.7%
251
2
Individuals
35.6%
145
3
Charitable
2.7%
11
Categories with <5 clients
Corporations or other businesses not listed above<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$1.5B
Total Accounts1,381
10Y AUM Change+$620M (+72.4%)

Private Funds

Private funds reported by Sargent Investment Group

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees18
Clients per Employee23:1
10Y Employee Change+11 (+157.1%)

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%
BRIAN DOUGLAS MCGREGORDirect owner · Schedule AInterest in SARGENT INVESTMENT GROUP
25% to < 50%
2024 THAYER MCGREGOR FAMILY TRUSTDirect owner · Schedule AInterest in SARGENT INVESTMENT GROUP
25% to < 50%
CHRISTOPHER NEEL RHYNEDirect owner · Schedule AInterest in SARGENT INVESTMENT GROUP
10% to < 25%
EDWARD H LAMADEDirect owner · Schedule AInterest in SARGENT INVESTMENT GROUP
5% to < 10%

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 Sargent Investment Group.

Reported ownership and control details

Form ADV · Filing date 2026-05-26 · Schedules A and B

9 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1BRIAN DOUGLAS MCGREGORCHIEF EXECUTIVE OFFICER/MANAGING MEMBERIndividualSARGENT INVESTMENT GROUP25% to less than 50%Code CYesCHIEF EXECUTIVE OFFICER/MANAGING MEMBER05/2018Schedule APDF page 23
2TERESA MARIE SCHAFERCHIEF COMPLIANCE OFFICERIndividualSARGENT INVESTMENT GROUPLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER06/2018Schedule APDF page 23
3CHRISTOPHER NEEL RHYNEMANAGING MEMBERIndividualSARGENT INVESTMENT GROUP10% to less than 25%Code BYesMANAGING MEMBER01/2022Schedule APDF page 23
42024 THAYER MCGREGOR FAMILY TRUSTMEMBERDomestic entitySARGENT INVESTMENT GROUP25% to less than 50%Code CNoMEMBER02/2024Schedule APDF page 23
5EDWARD H LAMADECHIEF INVESTMENT OFFICER/MEMBERIndividualSARGENT INVESTMENT GROUP5% to less than 10%Code AYesCHIEF INVESTMENT OFFICER/MEMBER04/2026Schedule APDF page 23
6CHRISTOPHER SMITH SARGENTMANAGERIndividualSARGENT INVESTMENT GROUPLess than 5%Code NAYesMANAGER01/2024Schedule APDF page 23
7RICARDO MARTIN ROSENBERGMANAGERIndividualSARGENT INVESTMENT GROUPLess than 5%Code NAYesMANAGER01/2026Schedule APDF page 23
8LAURA AN HESPECHIEF OPERATING OFFICERIndividualSARGENT INVESTMENT GROUPLess than 5%Code NAYesCHIEF OPERATING OFFICER03/2026Schedule APDF page 23
9BRIAN DOUGLAS MCGREGORTRUSTEEIndividual2024 THAYER MCGREGOR FAMILY TRUSTPercentage not specifiedCode FYesTRUSTEE02/2024Schedule BPDF page 23

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 5/26/2026 7:46:22 AM

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.