{"url":"https://nivawealth.com/firms/sagebroadview-wealth-management-126472","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/126472","regulatoryAum":397171504,"crd":"126472","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5998570","suffix":null,"lastName":"ANNELLO","firstName":"CHRISTOPHER","middleName":"JAMES"},{"crd":"5839129","suffix":null,"lastName":"ANNELLO","firstName":"JEFFREY","middleName":"LAWRENCE"},{"crd":"4650103","suffix":null,"lastName":"ANNELLO","firstName":"LAWRENCE","middleName":"JAMES"},{"crd":"7264333","suffix":null,"lastName":"Lester","firstName":"Daniel","middleName":"James"},{"crd":"5802007","suffix":null,"lastName":"PRINCIPE","firstName":"JOHN","middleName":"DAVID"},{"crd":"6557306","suffix":null,"lastName":"Sales 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arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060296","versionId":1060296,"submittedOn":"2026-10-06","documentName":"SAGEBROADVIEW WEALTH MANAGEMENT, LLC BROCHURE"},{"role":"other","program":"Integrated Financial and Tax Planning","summary":"Fixed fee of $8,000 per year, billed quarterly in advance, as one component of the wealth management fee.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060296","versionId":1060296,"submittedOn":"2026-10-06","documentName":"SAGEBROADVIEW WEALTH MANAGEMENT, LLC BROCHURE"},{"role":"other","program":"Young Professionals Program","summary":"One-time onboarding fee from $1,000 for individuals and a monthly fee from $300 for individuals, plus the portfolio management 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SAGEbroadview Wealth Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does SAGEbroadview Wealth Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does SAGEbroadview Wealth Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does SAGEbroadview Wealth Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does SAGEbroadview Wealth Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does SAGEbroadview Wealth Management have a minimum investment?","answer":"Yes, SAGEbroadview Wealth Management’s minimum account size for its Wealth Management is $300K.","source":"SAGEBROADVIEW WEALTH MANAGEMENT, LLC BROCHURE, filed 6 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns SAGEbroadview Wealth Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SAGEbroadview Wealth Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact SAGEbroadview Wealth Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 6 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}