Lombard Investments, Inc.
- Regulatory AUM
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- Discretionary
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- Clients
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- Avg AUM / client
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- Accounts
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- Employees
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AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 25, 2026
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $224M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Lombard Asia Iv, L.P. | Private Equity Fund | Cayman Islands | $162M | 24 |
| Lombard Asia Iii L.P. | Private Equity Fund | Cayman Islands | $62.0M | 23 |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sweet, Scott, Piercy | Chief Financial Officer | Mar 1994 (32y) | 25% – 50% | |
| Sullivan, Peter, Henry | Member, Board Of Directors | Mar 2001 (25y) | 25% – 50% | |
| Smith, Jr., Thomas, Johnston | President | Jun 2008 (18y) | 25% – 50% | |
| Burns, Timothy, Patrick | General Counsel And Chief Compliance Officer | Jul 2015 (11y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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, $224M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Lombard Asia Iv, L.P. | Private Equity Fund | $162M | $2.0M | 24 |
| Lombard Asia Iii L.P. | Private Equity Fund | $62.0M | $2.0M | 23 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/25/2026 | 712 KB | 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
Not reported.
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 25, 2026.
View current Form ADV (SEC/IAPD) ↗