DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Sageview Private Client Group, LLC

Former SEC-registered adviserNewport Beach, CaliforniaCRD 134997SEC 801-80138websiteIAPD
Latest filing Mar 28, 2025
First filing on the tape Jul 24, 2014 · 28 filings
SEC status approved since Jul 23, 2014
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$0 as of Mar 28, 2025
Mar 25, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 28, 2025
Mar 20, 20159 then
Employees (5.A)10 as of Mar 28, 2025
Mar 20, 201530 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 7
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, otherreportedItem 5.G
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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Katarzyna Dagmara Frankowska · Chief Compliance Officercontrol
    since 06/2024 · owns less than 5%
  • Turnbull John Longley · Chief Executive Officercontrol
    since 09/2023 · owns less than 5%
  • Irina Natasha Pfeiffer · Chief Legal Officercontrol
    since 06/2023 · owns less than 5%
  • Tyler Jonathan Upham · Presidentcontrol
    since 02/2015 · owns less than 5%
  • Marie Christina Walsh · Chief Financial Officercontrol
    since 04/2024 · owns less than 5%
Entity owners
  • Aq Sage Buyer, LLC · Direct Owner
    direct · owns 75% or more
  • Afsf IV Aiv A L.P. · Limited Partner
    indirect · owns 50% to 75% of Aq Sage Parent, L.P.
  • Aq Sage Intermediate I, LLC · Member
    indirect · owns 75% or more of Aq Sage Intermediate II, LLC
  • Aq Sage Intermediate II, LLC · Member
    indirect · owns 75% or more of Aq Sage Buyer, LLC
  • Aq Sage Parent G.P., LLC · General Partner
    indirect · owns F of Aq Sage Parent, L.P.
  • Aq Sage Parent, L.P. · Limited Partner
    indirect · owns 75% or more of Aq Sage Intermediate I, LLC
  • Aquiline Capital Partners IV Gp (Offshore) Ltd. · General Partner
    indirect · owns F of Afsf IV Aiv A L.P.
Related persons
Schedule D 7.A
Advisers that list Sageview Private Client Group, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Irvine, Ca001
Irving, Tx001
Knoxville, Tn0021
Newport Beach, Ca · principal0031
Offices
Schedule D 1.F, the 25 largest
  • Knoxville, TN2 employees
What changed
consecutive filings, newest first
  • Accounts · unset to 0.0
    Aug 30, 2024 to Mar 28, 2025
  • Advisory employees · 5 to 6
    Aug 30, 2024 to Mar 28, 2025
  • BD registered reps · 6 to 7
    Aug 30, 2024 to Mar 28, 2025
  • Insurance-licensed employees · 6 to 5
    Aug 30, 2024 to Mar 28, 2025
  • Financial planning clients · 1-10 to 1-10
    Aug 30, 2024 to Mar 28, 2025
  • State-registered IARs · 6 to 7
    Aug 30, 2024 to Mar 28, 2025
  • Discretionary RAUM · unset to 0.0
    Aug 30, 2024 to Mar 28, 2025
  • Non-discretionary RAUM · unset to 0.0
    Aug 30, 2024 to Mar 28, 2025
  • RAUM · unset to 0.0
    Aug 30, 2024 to Mar 28, 2025
  • Employees · 15 to 10
    Mar 30, 2023 to Mar 28, 2024
  • Advisory employees · 7 to 5
    Dec 16, 2022 to Mar 30, 2023
  • Employees · 15 to 8
    Dec 16, 2022 to Mar 30, 2023
  • State-registered IARs · 7 to 5
    Dec 16, 2022 to Mar 30, 2023
  • BD registered reps · 5 to 6
    Mar 30, 2023 to Mar 30, 2023
  • Employees · 8 to 15
    Mar 30, 2023 to Mar 30, 2023
  • Insurance-licensed employees · 5 to 6
    Mar 30, 2023 to Mar 30, 2023
  • State-registered IARs · 5 to 6
    Mar 30, 2023 to Mar 30, 2023
  • Advisory employees · 8 to 7
    Feb 1, 2021 to Mar 30, 2022
  • BD registered reps · 7 to 5
    Feb 1, 2021 to Mar 30, 2022
  • Financial planning clients · 101-250 to 1-10
    Feb 1, 2021 to Mar 30, 2022
  • State-registered IARs · 8 to 7
    Feb 1, 2021 to Mar 30, 2022
  • HNW clients · 36.0 to unset
    Jun 16, 2020 to Jan 29, 2021
  • Individual clients · 69.0 to unset
    Jun 16, 2020 to Jan 29, 2021
  • Insurance-licensed employees · 8 to 5
    Jun 16, 2020 to Jan 29, 2021
  • HQ city · IRVINE to NEWPORT BEACH
    Jun 16, 2020 to Jan 29, 2021
  • HNW clients · 37 to 36
    Mar 27, 2020 to Mar 30, 2020
  • Individual clients · 60 to 69
    Mar 27, 2020 to Mar 30, 2020
  • Financial planning clients · 51-100 to 101-250
    Mar 27, 2020 to Mar 30, 2020
  • Advisory activities · 3 to 2
    Sep 10, 2019 to Mar 27, 2020
  • BD registered reps · 8 to 7
    Sep 10, 2019 to Mar 27, 2020
  • Financial planning clients · 1-10 to 51-100
    Sep 10, 2019 to Mar 27, 2020
  • Advisory employees · 10 to 8
    May 10, 2018 to Mar 29, 2019
  • BD registered reps · 10 to 8
    May 10, 2018 to Mar 29, 2019
  • HNW clients · unset to 37.0
    May 10, 2018 to Mar 29, 2019
  • Individual clients · unset to 60.0
    May 10, 2018 to Mar 29, 2019
  • Employees · 10 to 15
    May 10, 2018 to Mar 29, 2019
  • Insurance-licensed employees · 10 to 8
    May 10, 2018 to Mar 29, 2019
  • Financial planning clients · 51-100 to 1-10
    May 10, 2018 to Mar 29, 2019
  • State-registered IARs · 10 to 8
    May 10, 2018 to Mar 29, 2019
  • Other offices · 2 to 1
    May 10, 2018 to Mar 29, 2019
Signals
27 dated events
  • Sageview Private Client Group, Llc no longer on the SEC adviser roster (last listed 2025-12-20)
    Jan 2, 2026 · Left the SEC roster · derived
  • Jonathan Tyler Upham left Sageview Private Client Group, Llc for Creative Planning (registered 2025-12-18)
    Dec 23, 2025 · Advisor changed firm · fact
  • John Mack Majors left Sageview Private Client Group, Llc for Cetera Investment Advisers Llc (registered 2023-06-29)
    Dec 9, 2025 · Advisor changed firm · fact
  • Brock Martin Becker left Sageview Private Client Group, Llc for Cetera Investment Advisers Llc (registered 2023-06-29)
    Dec 9, 2025 · Advisor changed firm · fact
  • Dagmara Katarzyna Frankowska left Sageview Private Client Group, Llc for Creative Planning Institutional Advisors, Llc (registered 2024-08-29)
    Dec 9, 2025 · Advisor changed firm · fact
  • Randall Craig Long left Sageview Private Client Group, Llc for Cetera Investment Advisers Llc (registered 2023-06-29)
    Dec 9, 2025 · Advisor changed firm · fact
  • Sharina Maria Merid left Sageview Private Client Group, Llc for Creative Planning Institutional Advisors, Llc (registered 2020-07-02)
    Dec 9, 2025 · Advisor changed firm · fact
  • Douglas Anthony Webster left Sageview Private Client Group, Llc for Cetera Investment Advisers Llc (registered 2023-06-29)
    Dec 9, 2025 · Advisor changed firm · fact
  • 2 advisors left Sageview Private Client Group, LLC (Newport Beach, CA) for Cetera Investment Advisers LLC on the same day
    Dec 9, 2025 · Team lift-out · derived
  • 2 advisors left Sageview Private Client Group, LLC (Knoxville, TN) for Cetera Investment Advisers LLC on the same day
    Dec 9, 2025 · Team lift-out · derived
  • K Dagmara Frankowska (Chief Compliance Officer) appeared on Schedule A of Sageview Private Client Group, Llc
    Jul 16, 2024 · Control person joined · fact
  • Maria Sharina Merid (Chief Compliance Officer) no longer on Schedule A of Sageview Private Client Group, Llc (listed 2024-03-28, absent 2024-07-16)
    Jul 16, 2024 · Control person left · inference
  • Craig Randall Long (Managing Principal) no longer on Schedule A of Sageview Private Client Group, Llc (listed 2023-03-30, absent 2024-03-28)
    Mar 28, 2024 · Control person left · inference
  • Turnbull John Longley (Chief Executive Officer) appeared on Schedule A of Sageview Private Client Group, Llc
    Mar 28, 2024 · Control person joined · fact
  • Tyler Jonathan Upham (President) appeared on Schedule A of Sageview Private Client Group, Llc
    Mar 28, 2024 · Control person joined · fact
  • Irina Natasha Pfeiffer (Chief Legal Officer) appeared on Schedule A of Sageview Private Client Group, Llc
    Mar 28, 2024 · Control person joined · fact
  • Marie Christina Walsh (Chief Financial Officer) appeared on Schedule A of Sageview Private Client Group, Llc
    Mar 28, 2024 · Control person joined · fact
  • 3 advisors left Cetera Advisor Networks LLC (Knoxville, TN) for Sageview Private Client Group, LLC a day apart
    Jun 29, 2023 · Team lift-out · derived
  • Todd Paul Redd left Sageview Private Client Group, Llc for Mariner (registered 2022-10-18)
    Jul 19, 2022 · Advisor changed firm · fact
  • Tyler Jonathan Upham (Member) no longer on Schedule A of Sageview Private Client Group, Llc (listed 2020-06-16, absent 2021-01-29)
    Jan 29, 2021 · Control person left · inference
  • Maria Sharina Merid (Chief Compliance Officer) appeared on Schedule A of Sageview Private Client Group, Llc
    Mar 27, 2020 · Control person joined · fact
  • Martin Brock Becker (Chief Compliance Officer) no longer on Schedule A of Sageview Private Client Group, Llc (listed 2019-09-10, absent 2020-03-27)
    Mar 27, 2020 · Control person left · inference
  • Martin Brock Becker (Chief Compliance Officer) appeared on Schedule A of Sageview Private Client Group, Llc
    Sep 10, 2019 · Control person joined · fact
  • T Michael Byun (Chief Compliance Officer) no longer on Schedule A of Sageview Private Client Group, Llc (listed 2019-03-29, absent 2019-09-04)
    Sep 4, 2019 · Control person left · inference
  • Maria Sharina Merid (Chief Compliance Officer) appeared on Schedule A of Sageview Private Client Group, Llc
    Sep 4, 2019 · Control person joined · fact
  • Sageview Private Client Group, Llc filed its initial SEC registration (Form ADV)
    Jul 24, 2014 · First SEC registration · fact
  • Sageview Private Client Group, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jul 24, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026