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••• W••••• P•••••••
Legal name S••• W••••• P•••••••• L••
Latest filing Jun 22, 2026
First filing on the tape Jun 18, 2025 · 4 filings
SEC status approved since Jun 30, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$123M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$127M as of Jun 22, 2026
Jun 18, 2025$114M then
HNW client RAUM$119M as of Jun 22, 2026
Jun 18, 2025$98.2M then
State-registered IARs (5.B.3)3 as of Jun 22, 2026
Jun 18, 20252 then
Employees (5.A)3 as of Jun 22, 2026
Jun 18, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 22, 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
- RAUM per advisor
- $42.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $306,059derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $92.9M, 82 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$119M94%
- Pension and profit-sharing plans$4.1M3.3%
- Individuals$3.9M3.1%
- Individual clients
- 22reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 415reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $92.9M for 82 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• C••••••••• K••Certified Financial Planner | Georgetown, Tx | Jan 6, 2022 | 10 y | 0 |
| P•••• A••••• M•••••••Certified Financial Planner | Georgetown, Tx | Feb 19, 2023 | 11 y | 0 |
| Z•••••• B••• S••••••Certified Financial Planner | Addison, Tx | Aug 20, 2025 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- M•••••• S•••• D•••• to ••••••••Nov 14, 2023 · RIA to RIA
Joined, latest
- M•••••• S•••• D•••• from E••••• J••••Mar 27, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• E••••• C••••••••• · Principal, Cco, Membercontrolsince 10/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Georgetown, Tx · principal | 3 | 0 | 0 | ||
| Greenville, Sc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 465 to 415Aug 20, 2025 to Mar 2, 2026
- HNW clients · 80 to 97Aug 20, 2025 to Mar 2, 2026
- Individual clients · 28 to 22Aug 20, 2025 to Mar 2, 2026
- Assets in custody · $51.4M to $92.9MAug 20, 2025 to Mar 2, 2026
- Financial planning clients · 51-100 to 101-250Aug 20, 2025 to Mar 2, 2026
- Discretionary RAUM · $110M to $123MAug 20, 2025 to Mar 2, 2026
- HNW RAUM · $98.2M to $119MAug 20, 2025 to Mar 2, 2026
- Individual RAUM · $12.1M to $3.9MAug 20, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $3.3M to $4.1MAug 20, 2025 to Mar 2, 2026
- Pension RAUM · $3.3M to $4.1MAug 20, 2025 to Mar 2, 2026
- RAUM · $114M to $127MAug 20, 2025 to Mar 2, 2026
- Advisory employees · 2 to 3Jun 18, 2025 to Aug 20, 2025
- Employees · 2 to 3Jun 18, 2025 to Aug 20, 2025
- State-registered IARs · 2 to 3Jun 18, 2025 to Aug 20, 2025
- Other offices · 1 to 2Jun 18, 2025 to Aug 20, 2025
Signals
1 dated events
- M•••••• S•••• D•••• left S••• W••••• P••••••• for &Partners (registered 2024-04-17)Nov 14, 2023 · Advisor changed firm · 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
- 231-221-2448reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sagewealthplans.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (231) 221-2448reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- sagewealthplans.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
- $42.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026