Lmcg Investments, Llc
SEC-registered
Investment Adviser · Mid-sized ($1B–$10B)
CRD 149936
· SEC file 801-70357
· Boston, MA
· www.linkedin.com
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ADV data as of Apr 09, 2026
- Regulatory AUM
- $6.8B
- Discretionary
- $6.7B
- Clients
- 968
- Avg AUM / client
- $7.1M
- Accounts
- 1,965
- Employees
- 46
AUM over time
$4.0B
$8.0B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Apr 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 168 | $57.8M | 0.85% |
| High net worth individuals | 725 | $2.5B | 36.1% |
| Banking or thrift institutions | 0 | $0 | — |
| Investment companies | 1 | $251M | 3.67% |
| Pooled investment vehicles (non-investment companies) | 2 | $2.4B | 35.8% |
| Pension and profit sharing plans | 0 | — | — |
| Charitable organizations | 37 | $221M | 3.23% |
| State or municipal government entities | 4 | $1.2B | 17.1% |
| Other investment advisers | 7 | $132M | 1.94% |
| Insurance companies | 0 | — | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 24 | $89.5M | 1.31% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $1.7B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Serenitas Credit Gamma Master Fund, Lp master | Hedge Fund | Cayman Islands | $1.6B | 272 |
| Serenitas Dynamic Alpha Master Fund, Lp master | Hedge Fund | Cayman Islands | $123M | 30 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (22)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Tower, Iii, Joseph F | Chief Compliance Officer, Chief Operating Officer, Board Member | May 2009 (17y) | 5% – 10% | |
| Swan, Kenneth, Leslie | President, Chief Executive Officer, Board Member | Jul 2009 (17y) | 10% – 25% | |
| Nan Marie Jaeger | Member | CFA | Jul 2009 (17y) | 5% – 10% |
| Sorbara, Julia, Catherine | Trustee, Jds Tplp Trust | Mar 2011 (15y) | ≈ 1.05% – 12.5% via Jds Tplp Trust | |
| Sorbara, Thomas, Anthony | Trustee, Jds Tplp Trust | Mar 2011 (15y) | ≈ 1.05% – 12.5% via Jds Tplp Trust | |
| Price, Edmund, H | Chief Legal Officer | Sep 2015 (11y) | Less than 5% | |
| Sorbara, Paul, Joseph | Vice President, Temperance Partners Inc. | Oct 2015 (11y) | GP / trustee / elected manager of Temperance Partners Inc. (indirect) | |
| Tice, Kevin, Douglas | President, Temperance Partners Inc. | Oct 2015 (11y) | GP / trustee / elected manager of Temperance Partners Inc. (indirect) | |
| Seltzer, Jason, Adam | Board Member | Oct 2019 (7y) | Less than 5% | |
| Eckner, Andreas | Member | Mar 2022 (4y) | 5% – 10% | |
| Ganong, Richard, Joseph | Member/Board Member | Mar 2022 (4y) | 5% – 10% | |
| Horel, Guillaume | Member | Mar 2022 (4y) | 5% – 10% | |
| Kumar, Ajit | Member | Mar 2022 (4y) | 5% – 10% | |
| Layton, John, Rodney | Member/Board Member | Mar 2022 (4y) | 5% – 10% | |
| Tsui, Edwin, Yu On | Member | Mar 2022 (4y) | 5% – 10% | |
| Weeks, David, Lawrence | Member/Board Member | Mar 2022 (4y) | 5% – 10% | |
| James B. Gribbell | Registered representative | CFA | Jul 2009 (17y) | |
| Matthew Scott Guleserian | Registered representative | CFA | Jul 2009 (17y) | |
| Scott Michael Macdonald | Registered representative | Dec 2013 (13y) | ||
| Christopher James Sabo | Registered representative | CFA | Mar 2023 (3y) | |
| Scott Andrew Gillespie | Registered representative | CFA | Nov 2024 (2y) | |
| Lars Cianciolo | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Temperance Wealth Partners Lp | Member | Mar 2022 | A | 10% – 25% |
| Temperance Partners Inc. | Owner | Oct 2015 | B | ≈ 7.5% – 25% via Temperance Wealth Partners Lp |
| Temperance Partners (Canada) Limited Partnership Ii | Share Holder Owner | Oct 2015 | B | ≈ 5.63% – 25% via Temperance Partners Inc. |
| Jds Tplp Trust | Limited Partner Owner | Oct 2014 | B | ≈ 4.22% – 25% via Temperance Partners (Canada) Limited Partnership Ii |
| Temperance Partners Gp I Limited | General Partner | Jun 2015 | B | GP / trustee / elected manager of Temperance Partners (Canada) Limited Partnership Ii (indirect) |
| Temperance Wealth Partners Inc. | General Partner | Oct 2015 | B | GP / trustee / elected manager of Temperance Wealth Partners Lp (indirect) |
Undisclosed: 0% – 35% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Sorbara, Julia, Catherine: 25% – 50% of Jds Tplp Trust × 75% – 100% of Temperance Partners (Canada) Limited Partnership Ii × 75% – 100% of Temperance Partners Inc. × 75% – 100% of Temperance Wealth Partners Lp × 10% – 25% direct ≈ 1.05% – 12.5% of the firm
- Sorbara, Thomas, Anthony: 25% – 50% of Jds Tplp Trust × 75% – 100% of Temperance Partners (Canada) Limited Partnership Ii × 75% – 100% of Temperance Partners Inc. × 75% – 100% of Temperance Wealth Partners Lp × 10% – 25% direct ≈ 1.05% – 12.5% of the firm
- Temperance Partners Inc.: 75% – 100% of Temperance Wealth Partners Lp × 10% – 25% direct ≈ 7.5% – 25% of the firm
- Temperance Partners (Canada) Limited Partnership Ii: 75% – 100% of Temperance Partners Inc. × 75% – 100% of Temperance Wealth Partners Lp × 10% – 25% direct ≈ 5.63% – 25% of the firm
- Jds Tplp Trust: 75% – 100% of Temperance Partners (Canada) Limited Partnership Ii × 75% – 100% of Temperance Partners Inc. × 75% – 100% of Temperance Wealth Partners Lp × 10% – 25% direct ≈ 4.22% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (2, $1.7B gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Serenitas Credit Gamma Master Fund, Lp | Hedge Fund | $1.6B | $1.0M | 272 |
| Serenitas Dynamic Alpha Master Fund, Lp | Hedge Fund | $123M | $1.0M | 30 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (20)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Barnes & Thornburg Llp Profit Sharing Plan | Barnes & Thornburg Llp | 1,515 | $754M | 01/01/2024 |
| Ice Miller Retirement Plan | Ice Miller Llp | 630 | $371M | 01/01/2024 |
| Faegre Drinker Retirement Savings Plan 2 | Faegre Drinker Biddle & Reath Llp | 1,274 | $773M | 01/01/2024 |
| Hok Group, Inc. 401(k) Profit Sharing Plan | Hok Group, Inc. | 1,414 | $362M | 01/01/2024 |
| Netjets Aviation, Inc. 401(k) Retirement Plan | Netjets Aviation, Inc. | 4,042 | $2.5B | 01/01/2024 |
| King & Spalding Llp Profit Sharing 401(k) Plan | King & Spalding Llp | 2,071 | $1.3B | 01/01/2024 |
| Sidley Austin Llp Savings And Investment Plan | Sidley Austin Llp | 3,442 | $1.9B | 01/01/2024 |
| Scpmg Keogh Plan | Southern California Permanente Medical Group | 11,088 | $7.9B | 01/01/2024 |
| Southland Industries Employees' 401 K Plan | Southland Industries | 1,096 | $212M | 01/01/2024 |
| Arnold & Porter Profit Sharing And 401(k) Plan And Trust | Arnold & Porter Kaye Scholer Llp | 1,788 | $1.6B | 01/01/2024 |
| Nfp Corp. 401(k) Plan | Nfp Corp. | 6,644 | $977M | 01/01/2024 |
| Mayer Brown Llp Usa Savings Plan | Mayer Brown Llp | 2,078 | $1.2B | 01/01/2024 |
| Greenberg Traurig 401(k) Plan | Greenberg Traurig, Pa | 3,961 | $1.6B | 01/01/2024 |
| The Sci 401(k) Retirement Savings Plan | Service Corporation Intl | 21,793 | $1.8B | 01/01/2024 |
| Mw&E Savings And Retirement Plan | Mcdermott Will & Emery Llp | 1,979 | $1.4B | 01/01/2024 |
| Baker Donelson Bearman Caldwell & Berkowitz Retirement Savings Plan | Baker Donelson Bearman Caldwell & Berkowitz P.C. | 1,160 | $628M | 01/01/2024 |
| Cooley Llp Salary Deferral And Profit Sharing Plan | Cooley Llp | 2,641 | $1.3B | 01/01/2024 |
| Nelson Mullins Retirement Plan | Nelson Mullins Riley & Scarborough Llp | 1,831 | $679M | 01/01/2024 |
| Latham & Watkins 401(k) Savings And Profit Sharing Plan | Latham & Watkins Llp | 4,864 | $3.1B | 01/01/2024 |
| United Airlines Pilot Retirement Account Plan | United Airlines, Inc. | 17,444 | $16.8B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/09/2026 | 1.49 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Sei Trust Co $1.0B (15% of AUM) Apr 2026
- Charles Schwab & Co. $846M (12% of AUM) Apr 2026
- BNY Mellon $823M (12% of AUM) Apr 2026
- Fidelity Investments $772M (11% of AUM) Apr 2026
- Fnz Trust Company $548M (10% of AUM) Jul 2024
- State Street $496M (12% of AUM) Mar 2023
- Northern Trust $466M (8% of AUM) Jul 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 09, 2026.
View current Form ADV (SEC/IAPD) ↗