LOMBARD ADVISERS INCORPORATED
SEC RegisteredIndependent Professionals for Today's Investors
About the firm
As an employee-owned network of independent brokers, Lombard Securities combines the breadth of knowledge and experience of a world-class leader with the personal touch only a local broker can provide. Lombard doesn't develop or sell its own financial products; our Financial Professionals recommend products and services based upon knowledge, individual client needs and market conditions.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Independent and objective investment advice; Financial Professionals recommend products and services based upon knowledge, individual client needs and market conditions.
Who they serve
Today's investors
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 867 | $357M |
| High Net Worth Individuals | 74 | $155M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 0 | $0 |
| Charitable Organizations | 27 | $95M |
| State/Municipal Entities | 15 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
33 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| First $1,000,000 | 1.70% |
| Next $2,000,000 | 1.00% |
| Next $7,000,000 | 0.75% |
Data as of March 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
Find an advisor that fits
Search AdvisorFinder's marketplace to compare financial advisors by specialty, location, fees, and more.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. LOMBARD ADVISERS INCORPORATED has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.