DFX Intelligence
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SEC-registered adviser
S••••••••• W••••• M••••••••• L••
Latest filing Jul 6, 2026
First filing on the tape Jun 30, 2015 · 34 filings
SEC status approved since Jul 16, 2015
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$395M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$66.2M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$397M as of Jul 6, 2026
Mar 30, 2016$140M then
HNW client RAUM$378M as of Jul 6, 2026
Mar 30, 2018$180M then
State-registered IARs (5.B.3)6 as of Jul 6, 2026
Mar 30, 20167 then
Employees (5.A)8 as of Jul 6, 2026
Mar 30, 20168 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jul 6, 2026; every figure names its basis
- RAUM per advisor
- $66.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $667,515derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $84.3M, 76 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$378M95%
- Individuals$17.5M4.4%
- Corporations and businesses$1.9M0.5%
- Individual clients
- 47reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 595reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.3M for 76 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• J•••• A••••••Certified Financial Planner, Personal Financial Specialist | Farmington, Ct | Mar 19, 2001 | 27 y | 0 |
| J••• D•••• P•••••••Certified Financial Planner | Farmington, Ct | Jun 18, 2010 | 19 y | 1 |
| C••••••••• J•••• A••••••Certified Financial Planner | Farmington, Ct | Jan 1, 2012 | 15 y | 1 |
| K••••• I••••• S•••• L•••••• | Morristown, Nj | Mar 5, 2020 | 10 y | 0 |
| D••••• J•••• L•••••Certified Financial Planner | Farmington, Ct | Jul 24, 2020 | 10 y | 0 |
| J•••••• L••••••• A•••••• | Farmington, Ct | Jan 30, 2026 | 16 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••••• L••••••• A•••••• from F••••••• C•••••• M••••••••• L••Jan 30, 2026 · RIA to RIA
- J••• D•••• P••••••• from S••• A••••••• G••••• L••Jun 18, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• C••••••••• J•••• · Partnercontrolsince 07/2021 · owns less than 5%
- A••••••• L•••••••• J•••• · Partner, Chief Compliance Officercontrolsince 12/2000 · owns less than 5%
- C•••• S••••• I••••••• · Partnercontrolsince 01/2014 · owns less than 5%
- P•••••••• J•••• D•••• · Partnercontrolsince 07/2021 · owns less than 5%
- A••••••• C••••••••• J•••• · Director, Vice President, Treasurercontrolsince 01/2024 · owns 25% to 50% of S••••••••• I•••
- A••••••• L•••••••• J•••• · Director, Presidentcontrolsince 01/2020 · owns 25% to 50% of S••••••••• I•••
- C•••• S••••• I••••••• · Directorcontrolsince 01/2020 · owns F of S••••••••• I•••
- P•••••••• J•••• D•••• · Director, Vice President, Secretarycontrolsince 01/2024 · owns 25% to 50% of S••••••••• I•••
Entity owners
- S••••••••• I••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• T••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Farmington, Ct · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Morristown, NJ2 employees
- Burlington, MA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Oct 15, 2025 to Mar 16, 2026
- HNW clients · 99 to 101Oct 15, 2025 to Mar 16, 2026
- Assets in custody · $71.8M to $84.3MOct 15, 2025 to Mar 16, 2026
- Employees · 7 to 8Oct 15, 2025 to Mar 16, 2026
- State-registered IARs · 5 to 6Oct 15, 2025 to Mar 16, 2026
- Discretionary RAUM · $350M to $397MOct 15, 2025 to Mar 16, 2026
- HNW RAUM · $332M to $378MOct 15, 2025 to Mar 16, 2026
- Individual RAUM · $16.3M to $17.5MOct 15, 2025 to Mar 16, 2026
- RAUM · $350M to $397MOct 15, 2025 to Mar 16, 2026
- Advisory employees · 5 to 4Sep 3, 2024 to Mar 26, 2025
- HNW clients · 97 to 99Sep 3, 2024 to Mar 26, 2025
- Accounts · 586 to 595Sep 3, 2024 to Mar 26, 2025
- Assets in custody · $68.7M to $71.8MSep 3, 2024 to Mar 26, 2025
- Employees · 5 to 7Sep 3, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Sep 3, 2024 to Mar 26, 2025
- Discretionary RAUM · $318M to $350MSep 3, 2024 to Mar 26, 2025
- HNW RAUM · $300M to $332MSep 3, 2024 to Mar 26, 2025
- Individual RAUM · $15.4M to $16.3MSep 3, 2024 to Mar 26, 2025
- RAUM · $318M to $350MSep 3, 2024 to Mar 26, 2025
- Accounts · 596 to 586Jan 29, 2024 to Mar 12, 2024
- Advisory employees · 6 to 5Jan 29, 2024 to Mar 12, 2024
- HNW clients · 96 to 97Jan 29, 2024 to Mar 12, 2024
- Individual clients · 42 to 47Jan 29, 2024 to Mar 12, 2024
- Assets in custody · $72.4M to $68.7MJan 29, 2024 to Mar 12, 2024
- Employees · 6 to 5Jan 29, 2024 to Mar 12, 2024
- State-registered IARs · 6 to 5Jan 29, 2024 to Mar 12, 2024
- Discretionary RAUM · $270M to $318MJan 29, 2024 to Mar 12, 2024
- HNW RAUM · $257M to $300MJan 29, 2024 to Mar 12, 2024
- Individual RAUM · $13.4M to $15.4MJan 29, 2024 to Mar 12, 2024
- RAUM · $270M to $318MJan 29, 2024 to Mar 12, 2024
- Related insurance company · false to trueApr 25, 2023 to Apr 27, 2023
- Accounts · 547 to 596Mar 28, 2022 to Mar 8, 2023
- HNW clients · 91 to 96Mar 28, 2022 to Mar 8, 2023
- Individual clients · 22 to 42Mar 28, 2022 to Mar 8, 2023
- Assets in custody · $90.8M to $72.4MMar 28, 2022 to Mar 8, 2023
- Financial planning clients · 51-100 to 101-250Mar 28, 2022 to Mar 8, 2023
- Discretionary RAUM · $297M to $270MMar 28, 2022 to Mar 8, 2023
- HNW RAUM · $285M to $257MMar 28, 2022 to Mar 8, 2023
- Individual RAUM · $12.2M to $13.4MMar 28, 2022 to Mar 8, 2023
- RAUM · $297M to $270MMar 28, 2022 to Mar 8, 2023
Signals
3 dated events
- J•••• Christopher Annello (Partner) appeared on Schedule A of S••••••••• W••••• M••••••••• L••Jul 29, 2021 · Control person joined · fact
- David John Principe (Partner) appeared on Schedule A of S••••••••• W••••• M••••••••• L••Jul 29, 2021 · Control person joined · fact
- S••••••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-606-9484reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 781-222-4728reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-606-3580reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/sagebroadview-wealth-management-llcreportedpublic record, Form ADV, Sep 21, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 860-606-3580reportedpublic record, Form ADV, Jul 6, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026