SAGEPOINT FINANCIAL, INC.
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SAGEPOINT FINANCIAL, INC.
(CRD# 133763)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Phoenix, AZ.
The SEC approved the firm to operate as an RIA in
Oct 2005.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$8.0 Billion,
with discretion over
67%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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SAGEPOINT FINANCIAL, INC.
also reported in
Mar 2019
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1957
employees,
with
1033
performing advisory functions.
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A total of 619 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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SAGEPOINT FINANCIAL, INC. has one or more disclosure events currently on file with the SEC.
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SAGEPOINT FINANCIAL, INC. has Notice Filings with the following State Securities Authorities:
AK-Sep 2005, AL-Oct 2005, AR-Oct 2005, AZ-Mar 2008, CA-Oct 20
, CO-Oct 2005, CT-Oct 2005, DC-Oct 2005, DE-Oct 2005, FL-Oct 2
, GA-Oct 2005, HI-Oct 2005, IA-Oct 2005, ID-Oct 2005, IL-Oct 2
, IN-Oct 2005, KS-Oct 2005, KY-Oct 2005, LA-Oct 2005, MA-Mar 2
, MD-Oct 2005, ME-Oct 2005, MI-Oct 2005, MN-Oct 2005, MO-Oct 2
, MS-Oct 2005, MT-Oct 2005, NC-Oct 2005, ND-Oct 2005, NE-Oct 2
, NH-Oct 2005, NJ-Sep 2005, NM-Oct 2005, NV-Oct 2005, NY-Oct 2
, OH-Oct 2005, OK-Oct 2005, OR-Mar 2008, PA-Mar 2008, PR-Mar 2
, RI-Oct 2005, SC-Oct 2005, SD-Oct 2005, TN-Oct 2005, TX-Oct 2
, UT-Oct 2005, VA-Oct 2005, VI-Jan 2009, VT-Oct 2005, WA-Oct 2
, WI-Oct 2005, WV-Oct 2005, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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