SAGEbroadview Wealth Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, tax planning, and tax preparation. Financial planning was provided to 101–250 clients last fiscal year.
SAGEbroadview Wealth Management reports 148 clients. They include 101 high-net-worth individuals and 47 individual clients. Of its assets, 100.0% ($397M across 595 accounts) are managed with discretion. It advised 3 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 32% | 4% |
| High-net-worth individuals | 68% | 95% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 47 | $17.5M | 4.4% | $373K |
| High-net-worth individuals | 101 | $378M | 95.1% | $3.74M |
| Corporations and other businesses | Fewer than 5 | $1.91M | 0.5% | — |
| Total | 148 | $397M | 100% | — |
- Clients
- 47
- Regulatory AUM
- $17.5M
- AUM share
- 4.4%
- Avg. per client
- $373K
- Clients
- 101
- Regulatory AUM
- $378M
- AUM share
- 95.1%
- Avg. per client
- $3.74M
- Clients
- Fewer than 5
- Regulatory AUM
- $1.91M
- AUM share
- 0.5%
- Avg. per client
- —
Total
- Clients
- 148
- Regulatory AUM
- $397M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 3
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
SAGEbroadview Wealth Management charges 0.30%–0.70% a year for its Wealth Management. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $300,000. The brochure also prices 3 other services, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$1.5M | 0.70% |
| $1.5M–$7.5M | 0.55% |
| $7.5M and above | 0.30% |
Fee details and sources
Other fees
- Consulting Services
- Billed hourly at up to $500 per hour, invoiced monthly in arrears.
- Integrated Financial and Tax Planning
- Fixed fee of $8,000 per year, billed quarterly in advance, as one component of the wealth management fee.
- Young Professionals Program
- One-time onboarding fee from $1,000 for individuals and a monthly fee from $300 for individuals, plus the portfolio management fee.
Sagebroadview, Inc. owns 75% or more of SAGEbroadview Wealth Management and is in turn owned by Lawrence Annello (25–50%), John Principe (25–50%) and Christopher Annello (25–50%). The leadership team of SAGEbroadview Wealth Management includes Chief Compliance Officer John Principe. It has 8 employees, 5 of them in advisory roles.
Staff
- 8 employees
- 5 in advisory functions
- 6 state-registered reps
- Owns 75% or more of Sagebroadview Wealth Management, LLC
Sagebroadview, Inc.
Control person · since January 2020
- Owns 25% to 50% of Sagebroadview, Inc.
Lawrence Annello
Control person · since January 2020
- Owns 25% to 50% of Sagebroadview, Inc.
John Principe
Control person · since January 2024
- Owns 25% to 50% of Sagebroadview, Inc.
Christopher Annello
Control person · since January 2024
Sheri Cupo
Director · Control person · since January 2020
SAGEbroadview Wealth Management’s regulatory assets grew from $265M (July 2021) to $397M (July 2026); clients rose from 111 to 148 and employees from 6 to 8. In 2014, SAGE Advisory Group, LLC (Morristown, NJ) joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jul 2026July 2026 | $397M | 148 | 8 | 3 |
| Mar 2025March 2025 | $350M | 146 | 7 | 3 |
| Mar 2024March 2024 | $318M | 144 | 5 | 3 |
| Apr 2023April 2023 | $270M | 138 | 6 | 3 |
| Mar 2022March 2022 | $297M | 113 | 6 | 3 |
| Jul 2021July 2021 | $265M | 111 | 6 | 3 |
Firms that joined
20141 joined
- SAGE Advisory Group, LLC (Morristown, NJ)No filed AUM
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, SAGEbroadview Wealth Management has 2 offices, with 3 listed addresses across 3 states.
Connecticut · 1 listed address
- 10 Waterside Drive, Suite 305, FarmingtonHQ
Massachusetts · 1 listed address
- Burlington Woods Office Park, Burlington
New Jersey · 1 listed address
- 89 Headquarters Plaza, Morristown
Contact and registration details
- Legal name
- Sagebroadview Wealth Management, LLC
- Headquarters
- 10 Waterside Drive, Suite 305, Farmington, CT 06032-2837
- Website
- sagebroadview.com
- Phone
- 860-606-3580
- SEC file
- 801-100506
- Founded
- 2000
- Structure
- Connecticut LLC
- Fiscal year end
- December
SAGEbroadview Wealth Management’s named custodians for separately managed accounts are Charles Schwab ($195M, 58%) and Altruist ($142M, 42%). SAGEbroadview Wealth Management has custody of $84.3M for 76 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $195M58%
- AltruistAltruist Financial LLC · Culver City, CA · $142M42%
At year end, SAGEbroadview Wealth Management’s separately managed accounts were mostly in funds (90%).
What the accounts hold
- Stocks2%
- Funds90%
- Bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash5%
How many clients does SAGEbroadview Wealth Management have?
SAGEbroadview Wealth Management has 148 clients and manages $397 million for them, as of July 2026. They include 101 high-net-worth individuals and 47 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 6 July 2026
What services does SAGEbroadview Wealth Management offer?
SAGEbroadview Wealth Management provides financial planning, portfolio management for individuals and small businesses, selecting other managers, education planning, estate planning, insurance, tax planning, and tax preparation.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does SAGEbroadview Wealth Management charge?
SAGEbroadview Wealth Management charges 0.30%–0.70% a year for its Wealth Management. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable and requires an account of at least $300,000.
Source: SAGEBROADVIEW WEALTH MANAGEMENT, LLC BROCHURE, filed 6 October 2026
Which custodians does SAGEbroadview Wealth Management use?
SAGEbroadview Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $195M and Altruist Financial LLC (Culver City, CA), with $142M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 July 2026
How many financial advisors does SAGEbroadview Wealth Management have?
SAGEbroadview Wealth Management has 6 investment adviser representatives registered with state securities authorities, out of 8 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does SAGEbroadview Wealth Management invest in?
At the end of its last fiscal year, SAGEbroadview Wealth Management’s separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 5% cash and equivalents, 2% exchange-traded equities, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does SAGEbroadview Wealth Management have a minimum investment?
Yes, SAGEbroadview Wealth Management’s minimum account size for its Wealth Management is $300K.
Source: SAGEBROADVIEW WEALTH MANAGEMENT, LLC BROCHURE, filed 6 October 2026
Who owns SAGEbroadview Wealth Management?
SAGEbroadview Wealth Management is owned through a holding company by Lawrence and Christopher Annello and John Principe. Its direct owner is Sagebroadview, Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 6 July 2026
How does SAGEbroadview Wealth Management get paid?
SAGEbroadview Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact SAGEbroadview Wealth Management?
SAGEbroadview Wealth Management’s main office is at 10 Waterside Drive, Suite 305, Farmington, CT 06032-2837. Its phone number is 860-606-3580. Its website is sagebroadview.com.