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••• I••••••••• A••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Jun 7, 2019 · 25 filings
SEC status approved since Jul 11, 2019
RAUM
$268M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$268M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$89.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$268M as of Mar 17, 2026
Mar 24, 2020$42.2M then
HNW client RAUM$200M as of Mar 17, 2026
Mar 24, 2020$28.9M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 24, 20202 then
Employees (5.A)5 as of Mar 17, 2026
Mar 24, 20203 then
Private funds: no history
RAUM +19% over the last fiscal year+22% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $89.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $357,868derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $268MreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$200M75%
- Individuals$68.4M25%
- Individual clients
- 232reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 750reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J•••• S•••••• | Wappingers Falls, Ny | Nov 13, 2020 | 31 y | 1 |
| J••••• G••••••• | Wappingers Falls, Ny | Aug 17, 2021 | 11 y | 0 |
| C•••••• B• L••••••• | Wappingers Falls, Ny | Oct 1, 2021 | 43 y | 1 |
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
- C•••••• B• L••••••• from W•••• F•••• A•••••••Oct 1, 2021 · Wirehouse to independent RIA
- J•••• J•••• S•••••• from W•••• F•••• A•••••••Nov 13, 2020 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••• J•••• · President And Chief Compliance Officercontrolsince 06/2019 · owns 75% or more
- G•••••••• J••••• · Owner And Managercontrolsince 02/2020 · owns 75% or more of C•••••• L••
Entity owners
- C•••••• L•• · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Wappingers Falls, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 667 to 750Jan 12, 2026 to Mar 17, 2026
- HNW clients · 74 to 75Jan 12, 2026 to Mar 17, 2026
- Individual clients · 171 to 232Jan 12, 2026 to Mar 17, 2026
- Other offices · 0 to 1Jan 12, 2026 to Mar 17, 2026
- Discretionary RAUM · $225M to $268MJan 12, 2026 to Mar 17, 2026
- HNW RAUM · $157M to $200MJan 12, 2026 to Mar 17, 2026
- Individual RAUM · $68.0M to $68.4MJan 12, 2026 to Mar 17, 2026
- RAUM · $225M to $268MJan 12, 2026 to Mar 17, 2026
- Accounts · 388 to 667Feb 29, 2024 to Mar 13, 2025
- HNW clients · 36 to 74Feb 29, 2024 to Mar 13, 2025
- Individual clients · 203 to 171Feb 29, 2024 to Mar 13, 2025
- Financial planning clients · 26-50 to 26-50Feb 29, 2024 to Mar 13, 2025
- Discretionary RAUM · $190M to $225MFeb 29, 2024 to Mar 13, 2025
- HNW RAUM · $108M to $157MFeb 29, 2024 to Mar 13, 2025
- Individual RAUM · $82.5M to $68.0MFeb 29, 2024 to Mar 13, 2025
- RAUM · $190M to $225MFeb 29, 2024 to Mar 13, 2025
- Wrap assets (sponsor) · $1.0M to $0Feb 29, 2024 to Mar 13, 2025
- Discretionary RAUM · $149M to $190MOct 26, 2023 to Feb 29, 2024
- HNW RAUM · $86.0M to $108MOct 26, 2023 to Feb 29, 2024
- Individual RAUM · $63.3M to $82.5MOct 26, 2023 to Feb 29, 2024
- RAUM · $149M to $190MOct 26, 2023 to Feb 29, 2024
- Wrap assets (manager) · $600,000 to $0Oct 26, 2023 to Feb 29, 2024
- Wrap assets (sponsor) · $0 to $1.0MOct 26, 2023 to Feb 29, 2024
- Accounts · 496 to 388Oct 26, 2023 to Feb 29, 2024
- HNW clients · 21 to 36Oct 26, 2023 to Feb 29, 2024
- Individual clients · 250 to 203Oct 26, 2023 to Feb 29, 2024
- HQ city · POUGHKEEPSIE to WAPPINGERS FALLSApr 27, 2023 to Oct 26, 2023
- Accounts · 476 to 496Mar 11, 2022 to Mar 13, 2023
- HNW clients · 48 to 21Mar 11, 2022 to Mar 13, 2023
- Individual clients · 166 to 250Mar 11, 2022 to Mar 13, 2023
- Assets in custody · 152000840.0 to unsetMar 11, 2022 to Mar 13, 2023
- Custody of client assets · true to falseMar 11, 2022 to Mar 13, 2023
- Employees · 4 to 5Mar 11, 2022 to Mar 13, 2023
- Financial planning clients · 11-25 to 26-50Mar 11, 2022 to Mar 13, 2023
- Discretionary RAUM · $152M to $149MMar 11, 2022 to Mar 13, 2023
- HNW RAUM · $80.0M to $86.0MMar 11, 2022 to Mar 13, 2023
- Individual RAUM · $72.0M to $63.3MMar 11, 2022 to Mar 13, 2023
- RAUM · $152M to $149MMar 11, 2022 to Mar 13, 2023
- Wrap assets (manager) · $604,067 to $600,000Mar 11, 2022 to Mar 13, 2023
- Wrap assets (sponsor) · $151M to $0Mar 11, 2022 to Mar 13, 2023
Signals
3 dated events
- J••••• G••••••• (Manager) appeared on Schedule A of S••• I••••••••• A••••••• L••Mar 24, 2020 · Control person joined · fact
- J••••• G••••••• (Manager) appeared on Schedule A of S••• I••••••••• A••••••• L••Jul 8, 2019 · Control person joined · fact
- S••• O•• L•• filed its initial SEC registration (Form ADV)Jun 7, 2019 · 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
- 845-240-1551reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sage-investment-advisers-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (845) 240-1551reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $89.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026