SAGEVIEW ADVISORY GROUP, LLC
Latest filing: Nov 07, 2024 (161 days ago)
AUM
$202,573,491,630
0% change vs. 1 year ago
15% change vs. 3 years ago
79% change vs. 5 years ago
429% change vs. 10 years ago
Employee Count
262
0% change vs. 1 year ago
34% change vs. 3 years ago
111% change vs. 5 years ago
102% change vs. 10 years ago
Main Office
NEWPORT BEACH, CA
4000 MACARTHUR BLVD., NEWPORT BEACH, CA, UNITED STATES, 92660
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $21.5 |
| Non-Discretionary | $181.0 |
| Total | $202.6 |
| Client | AUM |
|---|---|
| Retail | $3.3 |
| Pooled | $0.0 |
| Institutional | $199.2 |
| Total | $202.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 9,871 | $1.0 |
| Average Individual AUM | $101,294 | |
| HNW | 900 | $2.3 |
| Average HNW AUM | $2,609,388 | |
| Retail Total | 10,771 | $3.3 |
| Average Retail AUM | $310,864 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| FIDELITY BROKERAGE SERVICES LLC | SMITHFIELD-RI-USA | $77.7 |
| EMPOWER FINANCIAL SERVICES, INC. | NEW YORK-NY-USA | $25.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $202.6 |
| Retail SMA AUM | $3.3 |
| Institutional SMA AUM | $199.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 1% | $2.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $2.0 |
| Municipal | 1% | $2.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $2.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 98% | $198.5 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $2.0 |
| Other | 0% | $0.0 |
| Total | 103% | $208.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| SAGEVIEW INSURANCE SERVICES, INC. | $0.0 | - | |
| SAGEVIEW PRIVATE CLIENT GROUP, LLC | $0.0 | 134997 | |
| SAGEVIEW RETIREMENT PLAN CONSULTANTS | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
13 active
| Name | Title |
|---|---|
| UPHAM, JONATHAN, TYLER | PRESIDENT |
| MERID, SHARINA, MARIA | CHIEF COMPLIANCE OFFICER |
| HALVERSON, CHANDRA, ELLEN | HEAD OF WEALTH MANAGEMENT OPERATIONS |
| LONGLEY, JOHN, TURNBULL | CHIEF EXECUTIVE OFFICER |
| PFEIFFER, NATASHA, IRINA | CHIEF LEGAL OFFICER |
| WALSH, CHRISTINA, MARIE | CHIEF FINANCIAL OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
119 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| GARRETT STINSON | NEWPORT BEACH | CA | S63|1998-12-31|S65|2007-07-06 | ||||||
| MATTHEW COSGRIFF | NEWPORT BEACH | CA | CERTIFIED FINANCIAL PLANNER | ||||||
| MARK KECK | NEWPORT BEACH | CA | S65|2022-10-03 | ||||||
| MARGARITA CROSS | NEWPORT BEACH | CA | S63|2018-10-27|S66|2019-10-22 | ||||||
| DERRICK BYRD | NEWPORT BEACH | CA | S63|2013-03-19 | CERTIFIED FINANCIAL PLANNER | |||||
| LISA KOSCIELNY | NEWPORT BEACH | CA | S66|2004-11-22|S65|2022-09-03 | ||||||
| THOMAS GOLDMAN | NEWPORT BEACH | CA | S65|2021-03-29 | ||||||
| KRISTEN COCKROFT | NEWPORT BEACH | CA | S63|2008-12-18|S65|2024-04-24 | ||||||
| JACOB OSHAUGHNESSY | NEWPORT BEACH | CA | S63|1999-05-12 | ||||||
| JEFFREY GRATTON | NEWPORT BEACH | CA | S66|2012-01-07 | ||||||
| JEFFREY PETRONE | NEWPORT BEACH | CA | S63|2004-06-08|S65|2005-12-13 | ||||||
| ROBERT TRETHEWEY | NEWPORT BEACH | CA | S66|2006-12-21 | ||||||
| STUART PAYMENT | NEWPORT BEACH | CA | S65|2014-07-07 | ||||||
| BIANCA SOTO | NEWPORT BEACH | CA | S65|2019-10-07 | ||||||
| JOSEPH WHATLEY | NEWPORT BEACH | CA | S65|2021-10-25 | ||||||
| NICHOLE LABOTT | NEWPORT BEACH | CA | S63|2007-04-04|S65|2007-07-31 | ||||||
| RYAN BIGGS | NEWPORT BEACH | CA | S65|2017-09-18 | ||||||
| DEANNA SPIVEY | NEWPORT BEACH | CA | S66|2005-03-09 | ||||||
| CODY KLEIN | NEWPORT BEACH | CA | S66|2015-07-16 | ||||||
| BENJAMIN SITHENS | NEWPORT BEACH | CA | S63|2000-08-30|S65|2020-01-13 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $202.6 | $0.0 | 0% | 262 | 0 | 0% |
| 2024-04-02 | $202.6 | $0.0 | 0% | 262 | 0 | 0% |
| 2023-04-04 | $156.4 | $46.2 | 30% | 224 | 38 | 17% |
| 2022-04-01 | $176.3 | $26.2 | 15% | 195 | 67 | 34% |
| 2021-04-05 | $133.7 | $68.9 | 52% | 129 | 133 | 103% |
| 2020-04-01 | $112.9 | $89.6 | 79% | 124 | 138 | 111% |
| 2019-04-01 | $101.5 | $101.0 | 100% | 145 | 117 | 81% |
| 2018-04-02 | $88.5 | $114.1 | 129% | 140 | 122 | 87% |
| 2017-04-01 | $69.8 | $132.8 | 190% | 140 | 122 | 87% |
| 2016-04-01 | $43.9 | $158.6 | 361% | 145 | 117 | 81% |
| 2015-04-01 | $38.3 | $164.3 | 429% | 130 | 132 | 102% |
| 2014-04-01 | $27.8 | $174.8 | 629% | 100 | 162 | 162% |
| 2013-04-01 | $20.2 | $182.4 | 904% | 100 | 162 | 162% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AK-10/15/2021, AL-04/07/2023, AR-04/07/2023, AZ-04/15/2009, CA-09/22/2003, CO-02/27/2014, CT-03/28/2018, DC-03/20/2015, DE-09/15/2021, FL-01/31/2008, GA-07/10/2009, HI-05/29/2015, IA-04/02/2009, ID-04/07/2023, IL-03/25/2009, IN-03/20/2015, KS-10/05/2007, KY-04/07/2023, LA-03/20/2015, MA-02/26/2007, MD-02/26/2007, ME-04/07/2023, MI-03/04/2014, MN-02/05/2013, MO-01/29/2008, MS-04/07/2023, MT-04/07/2023, NC-11/03/2014, ND-04/07/2023, NE-07/10/2009, NH-03/25/2016, NJ-08/02/2005, NM-03/28/2018, NV-02/26/2007, NY-07/10/2009, OH-02/27/2014, OK-03/17/2022, OR-03/16/2016, PA-06/10/2009, PR-03/29/2024, RI-04/07/2023, SC-11/03/2014, SD-04/07/2023, TN-02/27/2007, TX-07/10/2009, UT-03/28/2018, VA-03/25/2009, VT-01/13/2022, WA-03/20/2017, WI-03/25/2009, WV-04/07/2023, WY-04/07/2023 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
REP BROKER DEALER INSURANCE AGENT ACCOUNTING FIRM LAW FIRM |
ADVDB.CO • SOURCE: SEC FORM ADV