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Wade Uloth

Chief Compliance Officer at Sage Advisory Services

Investment adviser registrationAustin, TXSEC record checked 17 October 2026

16
Years in the industry
13
Years at the firm
3
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Wade Uloth is Chief Compliance Officer of Sage Advisory Services LTD Co, a Austin investment adviser managing $28.4B. Wade Uloth has been registered through Sage Advisory Services since 2 October 2013, has 16 years in the industry across 3 firms and has passed the Series 7, Series 66, Series 24 and Series 4.

Role at Sage Advisory Services

Title on Schedule A
Chief Compliance Officer
Control
Wade Uloth is a control person of Sage Advisory Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Wade Uloth has held the filed role since March 2020.

The firm

Sage Advisory Services LTD Co
Austin, TX

Form ADV filed 30 March 2026

$28.4B AUM14,363 clients37 advisers1 offices

Career on record

Wade Uloth has been registered through Sage Advisory Services since October 2013, and before that through Veritrust Financial, LLC and Ameriprise Financial Services, Inc..

Firms and exams, newest first
  1. Sage Advisory Services Ltd CoCurrent
    – present · 13 years
    Austin, TX · Adviser representative · Firm CRD 106236
  2. Passed Series 4 · 2011
  3. Passed Series 24 · 2010
  4. Veritrust Financial, LLC
    – · 4 years
    Austin, TX · Adviser representative · Firm CRD 106594
  5. Ameriprise Financial Services, Inc.
    – · under a year
    Torrance, CA · Adviser representative · Firm CRD 6363
  6. Passed Series 7 and Series 66 · 2001

Registrations and exams

Wade Uloth has a current investment-adviser registration in Texas and has passed 4 qualifying exams.

Texas2 October 2013
Scope
Investment adviser representative
Status
Approved

Examinations

Series 668 May 2001
Name
Uniform Combined State Law Examination
Series 45 December 2011
Name
Registered Options Principal Examination
Series 2420 January 2010
Name
General Securities Principal Examination
Series 77 March 2001
Name
General Securities Representative Examination

Individual record

Full name
Wade Thomas Uloth
CRD
4354946
Firm
Sage Advisory Services LTD Co
Registration status
Investment adviser registration
Office
5900 SOUTHWEST PARKWAY, BUILDING 1, SUITE 100, Austin, TX 78735-6202
Firm bio
sageadvisory.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Sage identifies Wade Uloth as a partner and Chief Compliance Officer. The team page says he develops and implements compliance programs. Official firm biography/team page

Common questions

Where does Wade Uloth work?

Wade Uloth has been Chief Compliance Officer of Sage Advisory Services LTD Co since March 2020, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Is Wade Uloth a financial advisor?

Yes. Wade Uloth has a current investment-adviser registration in Texas, through Sage Advisory Services since October 2013, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Wade Uloth have?

Wade Uloth has worked in the financial industry for 16 years as of 17 October 2026, counted from 8 November 2009, across 3 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Wade Uloth passed?

Wade Uloth has passed 4 licensing exams: the Series 7, Series 66, Series 24 and Series 4. The earliest, the Series 7, was passed in March 2001.

Source: IAPD individual record, checked 17 October 2026

Where did Wade Uloth work before Sage Advisory Services?

Before Sage Advisory Services, Wade Uloth was registered through Veritrust Financial, LLC, December 2009 to September 2013; Ameriprise Financial Services, Inc., September 2009 to October 2009.

Source: IAPD individual record, checked 17 October 2026

Where is Wade Uloth based?

Wade Uloth’s registered office is in Austin, TX.

Source: IAPD individual record, checked 17 October 2026

Leadership at Sage Advisory Services

Sources

  1. IAPD individual record, CRD 4354946. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Sage Advisory Services LTD Co, filed 30 March 2026. Title, control and ownership bands.
  3. Sage Advisory Services team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Wade Uloth or Sage Advisory Services LTD Co and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.