Lombard Investments, Inc. (San Francisco)

Name: Lombard Investments, Inc.
Address: One Embarcadero Center, San Francisco, CA, 94111 3607
Telephone: 415-397-5900

Lombard Investments, Inc. is a large advisory firm based in San Francisco. It manages $364.49 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of California.

Lombard Investments provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lombard Investments: assets under management

The assets under management (AUM) of Lombard Investments, Inc. is $364.49 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -36% since the beginning of its operation, and $364.49 million of the total AUM is attributable to clients outside of the United States.

The firm manages $364.49 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $182.25 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lombard Investments, Inc. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jr. Thomas Johnston Smith serves?

The only and largest group of clients of Jr. Thomas Johnston Smith is pooled investment vehicles with 2 clients and $364.49 million of assets under management. Among the 7 most similar advisory firms, Lombard Investments has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $364.49 million for 2 clients. 100% of the firm’s clients are foreign persons or businesses.

Lombard Investments also advises several private funds. Namely, two private equity funds. The minimum investment commitment required of non-related persons is $2,000,000 for each fund.

Careers at Lombard Investments, Inc.

The company employs 24 people that are either part- or full-time employees. 83 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Jr. Thomas Johnston Smith has been acting as President since 1 Jun 2008. Timothy Patrick Burns joined the executive team most recently as the General Counsel And Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Scott Piercy Sweet	Chief financial officer	1 Mar 1994	25% - 50%	6023358
Peter Henry Sullivan	Member, board of directors	1 Mar 2001	25% - 50%	6023360
Jr. Thomas Johnston Smith	President	1 Jun 2008	25% - 50%	6023352
Pote Punyagupta Videt	Member, board of directors	1 Jun 2008	Other	1191617
Peter Henry Sullivan	Chief compliance officer	1 Dec 2010	25% - 50%	6023360
Timothy Patrick Burns	General counsel	1 May 2015	Other	6515134
Timothy Patrick Burns	General counsel and chief compliance officer	1 Jul 2015	Other	6515134

Based in San Francisco

The principal office where Lombard Investments, Inc. performs its advisory services is located at One Embarcadero Center, San Francisco, CA 94111 3607, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-397-5900 or by fax 415-397-5820. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at lombardinvestments.com.