Matthews, NC Office

Lombard Advisers provides personalized investment management to individuals, pension and profit‑sharing plans, trusts, estates, charitable organizations, and small businesses through a team of investment adviser representatives and sponsored platform programs. Services include portfolio management for individuals, retirement plan consulting, held‑away asset management, and access to a variety of wrap and separately managed account programs offered via its clearing relationships.

The firm offers both client‑directed (non‑discretionary) and discretionary solutions, including IAR‑directed discretionary accounts, a held‑away discretionary option using a third‑party order management system, and WFCS® wrap program options; it employs methods such as fundamental, technical, charting and cyclical analysis to construct portfolios. Accounts are reviewed at least annually (with additional reviews for material changes), and advisory relationships are executed through platform custodial arrangements and negotiated agreements with the servicing IAR.

As of 12/31/2025 Lombard Advisers reported approximately $670 million in assets under management, with the larger portion managed on a non‑discretionary basis—an operational mix that is uncommon among multi‑team firms. The firm is a wholly owned subsidiary of its affiliated broker‑dealer and routinely implements advisory services through affiliated clearing relationships and third‑party manager platforms, and it does not emphasize standalone comprehensive financial planning as a primary service.