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••• T••• W•••••
Legal name S••• T••• W•••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Nov 6, 2018 · 16 filings
SEC status approved since Dec 6, 2018
RAUM
$32.6M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$30.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$16.3M
derived; firm RAUM over IAPD count
Employees
2
2 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$32.6M as of Mar 31, 2026
Mar 20, 2019$47.9M then
HNW client RAUM$8.1M as of Mar 31, 2026
Mar 20, 2019$45.5M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 20, 20190 then
Employees (5.A)2 as of Mar 31, 2026
Mar 20, 20194 then
Private funds: no history
RAUM +1.8% over the last fiscal year-27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $16.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $155,165derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $30.3MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$22.2M73%
- High-net-worth individuals$8.1M27%
- Individual clients
- 190reported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 210reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••••• C••••••••• | Fairport, Ny | Apr 15, 2022 | 10 y | 0 |
| D••••• A• M•••• | Fairport, Ny | Mar 13, 2025 | 13 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- D••••• A• M•••• from H••••• C•••••• A••••••• S•••••••• I•••Apr 10, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• D•••••• A• · President/Chief Compliance Officercontrolsince 09/2018 · owns 75% or more
Related persons
Schedule D 7.A
- D•••••• J• S••••• C••• P•insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairport, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 227 to 210Mar 19, 2025 to Mar 31, 2026
- HNW clients · 5 to 8Mar 19, 2025 to Mar 31, 2026
- Individual clients · 208 to 190Mar 19, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 11-25Mar 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $30.1M to $30.3MMar 19, 2025 to Mar 31, 2026
- HNW RAUM · $6.0M to $8.1MMar 19, 2025 to Mar 31, 2026
- Individual RAUM · $24.0M to $22.2MMar 19, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.0M to $2.3MMar 19, 2025 to Mar 31, 2026
- RAUM · $32.0M to $32.6MMar 19, 2025 to Mar 31, 2026
- Accounts · 259 to 227Mar 19, 2024 to Mar 19, 2025
- HNW clients · 3 to 5Mar 19, 2024 to Mar 19, 2025
- Individual clients · 243 to 208Mar 19, 2024 to Mar 19, 2025
- Financial planning clients · 26-50 to 26-50Mar 19, 2024 to Mar 19, 2025
- Discretionary RAUM · $27.9M to $30.1MMar 19, 2024 to Mar 19, 2025
- HNW RAUM · $5.1M to $6.0MMar 19, 2024 to Mar 19, 2025
- Individual RAUM · $22.8M to $24.0MMar 19, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $30.5M to $2.0MMar 19, 2024 to Mar 19, 2025
- RAUM · $58.4M to $32.0MMar 19, 2024 to Mar 19, 2025
- Related insurance company · true to falseMar 19, 2024 to Mar 19, 2025
- Accounts · 248 to 259Mar 31, 2023 to Mar 19, 2024
- Individual clients · 227 to 243Mar 31, 2023 to Mar 19, 2024
- Employees · 3 to 2Mar 31, 2023 to Mar 19, 2024
- Financial planning clients · 1-10 to 26-50Mar 31, 2023 to Mar 19, 2024
- Discretionary RAUM · $23.7M to $27.9MMar 31, 2023 to Mar 19, 2024
- HNW RAUM · $4.0M to $5.1MMar 31, 2023 to Mar 19, 2024
- Individual RAUM · $19.7M to $22.8MMar 31, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $61.1M to $30.5MMar 31, 2023 to Mar 19, 2024
- RAUM · $84.8M to $58.4MMar 31, 2023 to Mar 19, 2024
- Accounts · 245 to 248Nov 8, 2022 to Mar 31, 2023
- HNW clients · 2 to 3Nov 8, 2022 to Mar 31, 2023
- Individual clients · 226 to 227Nov 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $28.5M to $23.7MNov 8, 2022 to Mar 31, 2023
- HNW RAUM · $2.6M to $4.0MNov 8, 2022 to Mar 31, 2023
- Individual RAUM · $25.9M to $19.7MNov 8, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $70.9M to $61.1MNov 8, 2022 to Mar 31, 2023
- RAUM · $99.4M to $84.8MNov 8, 2022 to Mar 31, 2023
- Accounts · 226 to 245Jan 22, 2021 to Mar 25, 2022
- Advisory employees · 3 to 2Jan 22, 2021 to Mar 25, 2022
- HNW clients · 3 to 2Jan 22, 2021 to Mar 25, 2022
- Individual clients · 204 to 226Jan 22, 2021 to Mar 25, 2022
Signals
2 dated events
- S••• T••• W••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 6, 2018 · Succession (Item 4) · fact
- S••• T••• W••••• filed its initial SEC registration (Form ADV)Nov 6, 2018 · 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
- service@sagetreewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-425-4090reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 585-425-4470reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sagetreewealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 5855002579reportedpublic record, Form ADV, Mar 31, 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
- $16.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026