Resources

A collection of SIG reports, case studies, and articles

Quarterly Reports

In the News

Forbes

Sargent Investment Group named to America’s Top 250 RIA firms for a third year in a row

The “Forbes America’s Top RIA Firms” rankings was compiled by SHOOK Research, published in October 2025 using data as of 3/31/2025. Firms provide a self-completed survey with firm data and participate in due diligence meetings with SHOOK. Information is analyzed and ranked by SHOOK utilizing a ranking algorithm that includes client impact, industry experience, credentials, compliance records, AUM, revenue, etc. SIG did not pay any compensation to participate in this survey or ranking and the ranking is not related to the quality of investment advice or investment performance.

Forbes

Brian McGregor named to Forbes Best in State Wealth Advisors 2025

The “Forbes America’s Top Wealth Advisors and Best-in-State Wealth Advisors” rankings were compiled by SHOOK Research, published in April 2025 using data as of 6/30/2024. Firms provide a self-completed survey with firm data and participate in due diligence meetings with SHOOK. Information is analyzed and ranked by SHOOK utilizing a ranking algorithm that includes client impact, industry experience, credentials, compliance records, AUM, revenue, etc. SIG did not pay any compensation to participate in this survey or ranking and the ranking is not related to the quality of investment advice or investment performance.

Forbes

Forbes again names Sargent Investment Group to America’s Top 250 RIA Firms in 2024

The “Forbes Top RIA Firms 2024” rankings were compiled by Shook Research, published in October 2024 using data compiled from 3/2023 to 3/2024. Firms provide a self-completed survey with firm data and other information that is analyzed and ranked by Shook utilizing a ranking algorithm weighing data so that priorities are given to dynamics such as preferred best practices, business models, business activity, etc. SIG did not pay any compensation to participate in this survey or ranking and the ranking is not related to the quality of investment advice.

Barrons

Sargent Investment Group adds Goldman Sachs as Primary Custodian

Financial Services Review

Sargent Investment Group, LLC: Leading the Way in Volatile Markets

The “Top 10 RIA Advisory Companies 2022” award, was compiled by the publication Financial Services Review (“FSR”) as of December, 2022, covering the year 2022. The process started with subscribers of FSR nominating RIA’s, as well as the market research team at FSR. The final selection of RIA’s was decided by the FSR advisory panel consisting of outside industry professionals and members of the FSR editorial board. SIG paid compensation to FSR to purchase copies and the right to distribute the article as well as advertisements in FSR publications.

Case Study

Client Highlight

An Excerpt from: “The Independent Mindset: Putting Client Needs First through Technology”

Seeking the Opportunity to Create a Better Firm

As Sargent, McGregor, and Rosenberg examined their future in financial services, they saw a trend emerging among successful advisors: Many advisors were transitioning away from traditional, stock-picking brokerage models and were instead moving their practices toward a state of freedom as full-service independent advisors.

“Working within the framework of any large BD or wirehouse has changed over the years,” said McGregor. “Likewise, there has been substantial change on the RIA side. A lot of assets have left wirehouses and transitioned to RIA platforms. We felt like there was an opportunity for us there as well.”

Indeed, the typical breakaway story goes something like this: A high-performing team of advisors becomes dissatisfied with their wirehouse because of proprietary products, revenue structure, and limitations and restrictions on resources like technology, and they seek out independence as a way to take control of their business and provide an experience that can far exceed their clients’ expectations.

According to McGregor, the story of Sargent Investment Group’s beginning was similar, though it lacked the same level of dissatisfaction with their previous employer that many firms express. Rather, Sargent Investment Group simply saw an opportunity to create a business model that could give them true freedom to do better by their clients—once that motive was established, there was no reason not to pursue it. Read the full case study here

did you know?

Over the past 70 years, the S&P 500 advanced 1,100-fold. That is enough to turn a single, modest $1,000 investment into more than a million dollars.

Source: The Motley Fool, 2019. Past performance is not indicative of future results.