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RIA / WealthAdvisor45 years in industry

AMY CAROLE Swearingen

Advisor at SAGE ADVISORY SERVICES LTD CO

AUSTIN, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SAGE ADVISORY SERVICES LTD CO
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 5, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Aug 5, 1981
First registration: Jul 30, 2002
Dual registered: no
Other names: AMY CAROLE NEVES
IAPD individual key: 733206

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SAGE ADVISORY SERVICES LTD CO	Mixed wealth	Feb 27, 2020	n/a	yes	AUSTIN, TX	Current employment
AMERICAN BEACON ADVISORS, INC.	Other adviser	Apr 5, 2011	Dec 4, 2020	no	IRVING, TX	Previous registration
INVESCO ADVISERS, INC.	Asset manager	Jan 1, 2010	Jun 5, 2010	no	ATLANTA, GA	Previous registration
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.	n/a	Jul 30, 2002	Jan 1, 2010	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERICAN BEACON ADVISORS, INC.	SAGE ADVISORY SERVICES LTD CO	Dec 4, 2020	Feb 27, 2020	-281	Firm change after gap	Other
INVESCO ADVISERS, INC.	AMERICAN BEACON ADVISORS, INC.	Jun 5, 2010	Apr 5, 2011	304	Firm change	Other
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.	INVESCO ADVISERS, INC.	Jan 1, 2010	Jan 1, 2010	0	Bulk transfer	Other

Relationships

Registered with (4)

→ SAGE ADVISORY SERVICES LTD CORegistered adviserregistration: current employment
Feb 27, 2020 to presentfactForm ADV
→ AMERICAN BEACON ADVISORS, INC.Registered adviserregistration: previous registration
Apr 5, 2011 to Dec 4, 2020factForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Jan 1, 2010 to Jun 5, 2010factForm ADV
→ INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jul 30, 2002 to Jan 1, 2010factForm ADV

Dated events

No dated event names this entity yet.