Sargent Investment Group

Sargent Investment Group, LLC, established in April 2018, is a registered investment advisor specializing in investment management and financial planning. The firm offers services to individuals, trusts, estates, non-profit organizations, corporations, and other entities on a discretionary or non-discretionary basis. SIG employs a consultative approach to tailor investment strategies based on clients' financial objectives, risk profiles, and investment goals. The firm requires a minimum balance of $500,000 for clients, subject to exceptions. SIG does not sponsor wrap fee programs but may recommend independent managers for certain investments. The firm provides financial planning and consulting services, retirement account advisory, and may offer specialized sector portfolios for an additional fee. SIG charges advisory fees based on a tiered fee schedule, with a maximum of 1.75% per annum and a minimum fee of $500 per year per household. The firm does not charge performance-based fees and acts as a fiduciary, obligated to act in clients' best interests. SIG does not have any disciplinary history and does not currently receive compensation for client referrals. The firm does not maintain custody of client assets, except for specific circumstances related to fee deduction and money movement authorization. Clients are responsible for voting proxies and handling class action lawsuits related to securities in their portfolios.