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CRD 126472
FARMINGTON, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| LAWRENCE JAMES ANNELLO | Certified Financial Planner|Personal Financial Specialist | FARMINGTON, CT | 25 | 27 | n/a | no |
| JOHN DAVID PRINCIPE | Certified Financial Planner | FARMINGTON, CT | 16 | 19 | 1 | no |
| CHRISTOPHER JAMES ANNELLO | Certified Financial Planner | FARMINGTON, CT | BURLINGTON, MA | 14 | 15 | 1 | no |
| Karina Isabel Sales Linehan | n/a | Morristown, NJ | 6 | 10 | n/a | no |
| Daniel James Lester | Certified Financial Planner | FARMINGTON, CT | 6 | 10 | n/a | no |
| JEFFREY LAWRENCE ANNELLO | n/a | FARMINGTON, CT | 0 | 16 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ANNELLO, CHRISTOPHER, JAMES | DIRECTOR, VICE PRESIDENT, TREASURER | C | yes | 01/2024 | Jul 29, 2021 | Sep 3, 2024 |
| ANNELLO, CHRISTOPHER, JAMES | Partner | Na | yes | 07/2021 | Jul 29, 2021 | Sep 3, 2024 |
| ANNELLO, LAWRENCE, JAMES | DIRECTOR, PRESIDENT | C | yes | 01/2020 | Jun 30, 2015 | Sep 3, 2024 |
| ANNELLO, LAWRENCE, JAMES | PARTNER, CHIEF COMPLIANCE OFFICER | Na | yes | 12/2000 | Jun 30, 2015 | Sep 3, 2024 |
| CUPO, SHERI, IANNETTA | Director | F | yes | 01/2020 | Jun 30, 2015 | Sep 3, 2024 |
| CUPO, SHERI, IANNETTA | Partner | Na | yes | 01/2014 | Jun 30, 2015 | Sep 3, 2024 |
| PRINCIPE, JOHN, DAVID | DIRECTOR, VICE PRESIDENT, SECRETARY | C | yes | 01/2024 | Jul 29, 2021 | Sep 3, 2024 |
| PRINCIPE, JOHN, DAVID | Partner | Na | yes | 07/2021 | Jul 29, 2021 | Sep 3, 2024 |
| SAGEBROADVIEW, INC. | MANAGING MEMBER | E | yes | 01/2020 | Jan 29, 2020 | Sep 3, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| SAGEBROADVIEW TAX, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Morristown | Nj | United States | 2 | no |
| Burlington | Ma | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 16, 2026 | $397M | $397M | 8 | 5 | 2 | n/a | n/a |
| 2024 | Mar 26, 2025 | $350M | $350M | 7 | 4 | 2 | n/a | n/a |
| 2023 | Mar 12, 2024 | $318M | $318M | 5 | 5 | 2 | n/a | n/a |
| 2022 | Mar 8, 2023 | $270M | $270M | 6 | 6 | 2 | n/a | n/a |
| 2021 | Mar 28, 2022 | $297M | $297M | 6 | 6 | 2 | n/a | n/a |
| 2020 | Mar 29, 2021 | $265M | $265M | 6 | 6 | 2 | n/a | n/a |
| 2019 | Mar 30, 2020 | $239M | $239M | 6 | 6 | 2 | n/a | n/a |
| 2018 | Mar 26, 2019 | $190M | $190M | 5 | 5 | 2 | n/a | n/a |
| 2017 | Mar 30, 2018 | $195M | $195M | 7 | 5 | 2 | n/a | n/a |
| 2016 | Mar 22, 2017 | $162M | $162M | 8 | 5 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $140M | $140M | 8 | 4 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $397M | $350M | 13.4% | $270M | 13.7% | 8 | 7 | 2 | 2 |