SourcingSourcing

LGM CAPITAL MANAGEMENT LLC

C43
CRD 283872·SEC 801-108408·PHOENIX, AZ
AUM
$14.9M
<$25M
Est. Revenue
$149K
@ 1% on AUM
Est. EBITDA
$45K
@ 30% margin
Est. Deal Value
$358K
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
LGM CAPITAL MANAGEMENT LLC
CRD
283872
SEC file #
801-108408
EIN
—
DBA names
—

Economics

AUM
$14.9M
AUM band
<$25M
AUM trajectory
'20'26
$49.6M → $14.9M▼ -70%
Client mix
Investment Companies1

Operations

Employees (total)
2
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
PHOENIX AZ
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companies
Fee basis
% of AUM

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
lgmcapitalmanagement.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Moring, Th, Seeley
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
Moring, Th, Seeley
HSU, DAVID, CHENG-WEI
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
LGMCAPITALMANAGEMENT.COM
Rdap Domain Creation Date
2016-08-23T08:54:30Z
Rdap Firm Age Years
10
Rdap Firm Age Band
10-20y
Rdap Registrar
Bluehost Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-23T08:54:30Z
Rdap Domain Last Changed
2025-08-25T19:50:42Z
Rdap Nameservers
Ns1.bluehost.comNs2.bluehost.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
6704681
Trust Company Affiliate
No

People (2)

2
Moring, Th, Seeley
Direct Owner · 87.5%
6704681
DAVID CHENG-WEI HSU
Executive Officer · 2.5%
4140214