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LOMBARD

DALY CITY, CA · CRD 157418 · IAPD ↗ · lombardinvestments.com · 415-397-5900

$224.0MRegulatory AUM
6Advisory reps
9Employees
0Clients
n/aPlanning clients
2Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

45
June 2025 — LOMBARD (DALY CITY, CA) left the SEC roster (was $224.0M RAUM, 6 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
30
July 2024 — LOMBARD reported RAUM down 26% ($304.6M -> $224.0M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.