{ "crd_number": 126472, "slug": "sagebroadview-wealth-management-llc-farmington-ct-126472", "primary_business_name": "SAGEBROADVIEW WEALTH MANAGEMENT, LLC", "legal_name": "SAGEBROADVIEW WEALTH MANAGEMENT, LLC", "dbas": [], "city": "Farmington", "state": "CT", "country": "United States", "cbsa_code": "25540", "metro": { "cbsa_code": "25540", "common_name": "Hartford", "msa_name": "Hartford-West Hartford-East Hartford, CT", "path": "/advisors/ct/hartford" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2015-07-16", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-07-06", "carried_forward": false, "raum_total": 397171504.0, "raum_discretionary": 397171504.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 8, "advisory_employees": 5, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 17530372.0, "count": 47 }, "high_net_worth_individuals": { "raum": 377731615.0, "count": 101 }, "corporations_other_businesses": { "raum": 1909517.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT", "FL", "MA", "NH", "NJ", "NY", "PA" ], "websites": [ "https://facebook.com/people/SAGEbroadview-Wealth-Management/100090927961315", "https://linkedin.com/company/sagebroadview-wealth-management-llc", "https://sagebroadview.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/126472", "city_as_filed": "FARMINGTON", "url": "https://advisorcensus.com/firm/sagebroadview-wealth-management-llc-farmington-ct-126472", "display_name": "Sagebroadview Wealth Management, LLC", "summary": "Sagebroadview Wealth Management, LLC is an SEC-registered investment advisory firm in Farmington, CT, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 6, 2026.", "citation": "AdvisorCensus. Sagebroadview Wealth Management, LLC (CRD 126472): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Sagebroadview Wealth Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Sagebroadview Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Sagebroadview Wealth Management, LLC located?", "a": "Sagebroadview Wealth Management, LLC's principal office is in Farmington, CT, according to its Form ADV; the August 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Sagebroadview Wealth Management, LLC registered with the SEC or a state?", "a": "Sagebroadview Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 126472." }, { "q": "How much does Sagebroadview Wealth Management, LLC manage?", "a": "Sagebroadview Wealth Management, LLC reports $397,171,504 in regulatory assets under management in its Form ADV filing dated July 6, 2026 (100% discretionary)." }, { "q": "How have Sagebroadview Wealth Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Sagebroadview Wealth Management, LLC: Regulatory assets under management: $264,885,072 in the October 2021 data and $397,171,504 in the October 2026 data, up 50%. Total employees: 6 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Sagebroadview Wealth Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (101); individuals (other than high net worth individuals) (47)." }, { "q": "Which custodians does Sagebroadview Wealth Management, LLC use?", "a": "Sagebroadview Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Altruist Financial LLC and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Sagebroadview Wealth Management, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/126472" }, { "q": "What changed in Sagebroadview Wealth Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $350,339,835 to $397,171,504 (+13%). Employees performing advisory functions went from 4 to 5." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 264885072.0, "total_employees": 6, "filing_date": "2021-07-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 297253818.0, "total_employees": 6, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 270492196.0, "total_employees": 6, "filing_date": "2023-04-27" }, { "period": "2024-10-01", "regulatory_assets_under_management": 317621091.0, "total_employees": 5, "filing_date": "2024-09-03" }, { "period": "2025-10-01", "regulatory_assets_under_management": 350339835.0, "total_employees": 7, "filing_date": "2025-03-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 397171504.0, "total_employees": 8, "filing_date": "2026-07-06" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $350,339,835 to $397,171,504 (+13%).", "Employees performing advisory functions went from 4 to 5." ] }, { "period": "2025-11-01", "period_label": "November 2025", "notes": [ "Changed its office addresses in Morristown, NJ." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Altruist Financial LLC", "name_as_filed": "ALTRUIST FINANCIAL LLC", "affiliated": false }, { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/sagebroadview-wealth-management-llc-farmington-ct-126472.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 47, "fewer_than_5": false, "raum": 17530372.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 101, "fewer_than_5": false, "raum": 377731615.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 1909517.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/126472", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }