# LOMBARD ADVISERS INCORPORATED

LOMBARD ADVISERS INCORPORATED of BALTIMORE, MD is an SEC-registered investment adviser.

## Registration

- CRD: 108231
- Type: SEC-registered investment adviser
- SEC file number: 801-114981
- Location: 1820 LANCASTER ST, BALTIMORE, MD, 21231
- Phone: 410-342-1300
- Latest filing: 2026-03-27
- Regulatory AUM: $669.8M
- Discretionary AUM: $245.3M
- Non-discretionary AUM: $424.6M
- Clients: 41
- Accounts: 1,456

## Business model

- Compensation: % of AUM, Fixed
- Clients served: High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (6)

| Name | Role | Location |
| --- | --- | --- |
| William Stephen Socha | CHIEF FINANCIAL OFFICER | — |
| Charles Curtis Fox | CHIEF EXECUTIVE OFFICER | — |
| Terry Lynn Donlan Welker | CHIEF COMPLIANCE OFFICER | — |
| SOCHA WILLIAM STEPHEN | CHIEF FINANCIAL OFFICER | — |
| FOX CHARLES CURTIS | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |
| DONLAN WELKER TERRY LYNN | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (6)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-02-18 | regulatory | ON FEBRUARY 18, 2022, LOMBARD ADVISERS FILED APPLICATIONS FOR REGISTRATION FOR TWO OF ITS NORTH CAROLINA DOMICILED INVESTMENT ADVISER REPRESENTATIVES. BOTH REPRESENTATIVES ACTED ON BEHALF OF LOMBARD ADVISERS AS UNREGISTERED INVESTMENT ADVISER REPRESENTATIVES IN NORTH CAROLINA SINCE JANUARY 2007. | Final | $3K |
| 2018-03-29 | regulatory | THE DIVISION ALLEGED THAT THE FIRM ALLOWED AN ASSOCIATED PERSON TO REPRESENT THEMSELVES AND ACT AS AN INVESTMENT PRIOR TO APPROVAL OF REGISTRATION WITH THE STATE. | Final | $45K |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/108231/brochure
- Similar advisers: https://search.stillhousedata.com/firm/108231/similar
- Related entities: https://search.stillhousedata.com/firm/108231/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/108231

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.