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.
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SEC-registered adviser
S••••••• A•••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Sep 18, 2015 · 16 filings
SEC status approved since Sep 25, 2015
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$2.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.7B as of Mar 31, 2026
Mar 7, 2016$648M then
HNW client RAUM$2.4B as of Mar 31, 2026
Mar 26, 2018$1.3B then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 7, 20162 then
Employees (5.A)7 as of Mar 31, 2026
Mar 7, 201616 then
Private funds: no history
RAUM +0.8% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.3MderivedHNW RAUM over HNW clients
- Average account
- $10.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B89%
- Corporations and businesses$285M11%
- Individual clients
- 0reported
- HNW clients
- 232reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 255reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D••••• · Chief Investment Officer/Managing Membercontrolsince 12/2016 · owns 75% or more
- T•••••• D••••• N••• · Chief Compliance Officer/Chief Operating Officer/Chief Financial Officercontrolsince 12/2016 · owns less than 5%
- B••••••••• W••••••• J•••• · Chairmansince 12/2016 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 257 to 255Mar 18, 2025 to Mar 31, 2026
- Corporate clients · 27 to 21Mar 18, 2025 to Mar 31, 2026
- HNW clients · 226 to 232Mar 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.7B to $2.7BMar 18, 2025 to Mar 31, 2026
- HNW RAUM · $2.3B to $2.4BMar 18, 2025 to Mar 31, 2026
- RAUM · $2.7B to $2.7BMar 18, 2025 to Mar 31, 2026
- Wrap assets (manager) · $1.3B to $1.3BMar 18, 2025 to Mar 31, 2026
- Accounts · 286 to 257Mar 14, 2024 to Mar 18, 2025
- HNW clients · 255 to 226Mar 14, 2024 to Mar 18, 2025
- Employees · 6 to 7Mar 14, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 18, 2025
- Discretionary RAUM · $2.6B to $2.7BMar 14, 2024 to Mar 18, 2025
- HNW RAUM · $2.3B to $2.3BMar 14, 2024 to Mar 18, 2025
- RAUM · $2.6B to $2.7BMar 14, 2024 to Mar 18, 2025
- Wrap assets (manager) · $1.3B to $1.3BMar 14, 2024 to Mar 18, 2025
- Accounts · 290 to 286Mar 16, 2023 to Mar 14, 2024
- Corporate clients · 23 to 27Mar 16, 2023 to Mar 14, 2024
- HNW clients · 260 to 255Mar 16, 2023 to Mar 14, 2024
- Individual clients · 4 to 0Mar 16, 2023 to Mar 14, 2024
- Discretionary RAUM · $2.6B to $2.6BMar 16, 2023 to Mar 14, 2024
- HNW RAUM · $2.3B to $2.3BMar 16, 2023 to Mar 14, 2024
- Individual RAUM · $961,653 to $0Mar 16, 2023 to Mar 14, 2024
- RAUM · $2.6B to $2.6BMar 16, 2023 to Mar 14, 2024
- Wrap assets (manager) · $1.2B to $1.3BMar 16, 2023 to Mar 14, 2024
- Accounts · 295 to 290Mar 24, 2022 to Mar 16, 2023
- Advisory employees · 2 to 3Mar 24, 2022 to Mar 16, 2023
- Corporate clients · 19 to 23Mar 24, 2022 to Mar 16, 2023
- HNW clients · 272 to 260Mar 24, 2022 to Mar 16, 2023
- Individual clients · 0 to 4Mar 24, 2022 to Mar 16, 2023
- Employees · 5 to 6Mar 24, 2022 to Mar 16, 2023
- Discretionary RAUM · $2.2B to $2.6BMar 24, 2022 to Mar 16, 2023
- HNW RAUM · $2.0B to $2.3BMar 24, 2022 to Mar 16, 2023
- Individual RAUM · $0 to $961,653Mar 24, 2022 to Mar 16, 2023
- RAUM · $2.2B to $2.6BMar 24, 2022 to Mar 16, 2023
- Wrap assets (manager) · $685M to $1.2BMar 24, 2022 to Mar 16, 2023
- Accounts · 292 to 295Mar 12, 2021 to Mar 24, 2022
- Corporate clients · 7 to 19Mar 12, 2021 to Mar 24, 2022
- HNW clients · 281 to 272Mar 12, 2021 to Mar 24, 2022
- Employees · 6 to 5Mar 12, 2021 to Mar 24, 2022
- Discretionary RAUM · $2.1B to $2.2BMar 12, 2021 to Mar 24, 2022
Signals
3 dated events
- S••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 22, 2020 · Succession (Item 4) · fact
- S••••••• A•••• M••••••••• L• reported RAUM $1.9B, up 57% from $1.2B (2017-01-13 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- S••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 18, 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 phone
- 212-231-8772reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-231-8770reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-231-8773reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/11010811reportedpublic record, Form ADV, Sep 19, 2026
- Website
- sagewoodassetmgmt.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-231-8777reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- sagewoodassetmgmt.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026