SAGE, RUTTY & CO., INC.
Adviser information for SAGE, RUTTY & CO., INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 39 |
|---|---|
| Investment Advisory/Research | 39 |
| Registered Broker-Dealer Representatives | 39 |
| Registered State Investment Advisers | 39 |
| Licensed Agents of an Insurance Company | 27 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,403 | $971.5M |
| Non-Discretionary | 4,531 | $1.5B |
| Total | 6,934 | $2.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5,754 | $2.0B |
| HNW Individuals | 971 | $345.2M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | 36 | $14.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 173 | $61.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 100 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
100 CORPORATE WOODSSUITE 300
ROCHESTER
NY
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 585-232-3760, Fax: 866-902-0273
Chief Compliance Officer
CORINNE DENNIS
100 CORPORATE WOODS
SUITE 300
ROCHESTER
NY
United States
Tel:
585-512-2331
Fax:
866-902-0273
C******@************M
(Full email address available in API data)
Regulatory Contact
TREVOR HOLLY
PRESIDENT
100 CORPORATE WOODS
SUITE 300
ROCHESTER
NY
United States
Tel:
585-232-3760
Fax:
866-902-0273
T*****@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEHNER, SANDRA JEAN | Individual | – | SHAREHOLDER, DIRECTOR | 03/2005 | < 5% |
| HOLLY, WAYNE FOSTER | Individual | – | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 05/2022 | 25-50% |
| BURKE, JAMES PAUL | Individual | – | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 10/1996 | < 5% |
| HOLLY, AUDREY WELLER | Individual | – | SHAREHOLDER | 10/1999 | 10-25% |
| PARKER, DOUGLAS EVANS III | Individual | – | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 06/2006 | 10-25% |
| FALVEY, ROBERT JOHN | Individual | – | SHAREHOLDER (10/1996) | 06/2006 | < 5% |
| DIPASQUALE, SEBASTIAN ANTHONY | Individual | – | SHAREHOLDER | 02/1987 | < 5% |
| RALPH JOSEPH DANDREA | Individual | – | DIRECTOR | 03/2009 | < 5% |
| LACEY, MATTHEW JAMES | Individual | – | CONTROLLER,TREASURER, FINOP | 05/2009 | < 5% |
| LOHWATER, ROBERT LAWRENCE | Individual | – | CORPORATE OFFICER | 07/2023 | < 5% |
| EHRLICH, CURT ALLEN | Individual | – | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 04/2003 | < 5% |
| NUGENT, KIM LISBETH | Individual | – | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 07/2010 | 10-25% |
| FROOD, LAURA SUZANNE | Individual | – | FINANCIAL ADVISOR, SHAREHOLDER | 08/2001 | < 5% |
| HOLLY, TREVOR WILLIAM | Individual | – | PRESIDENT, CEO, SHAREHOLDER | 05/2022 | < 5% |
| HOLLY, CONNOR B | Individual | – | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 08/2021 | < 5% |
| HOLLY, JESSICA LAUREN | Individual | – | SHAREHOLDER | 10/2022 | < 5% |
| HOLLY, JARED FOSTER | Individual | – | SHAREHOLDER | 10/2022 | < 5% |
| HOLLY, SEAN TYLER | Individual | – | SHAREHOLDER | 10/2022 | < 5% |
| HOLLY, SHANE ALEXANDER | Individual | – | SHAREHOLDER | 10/2022 | < 5% |
| FROOD, NEIL STEWART III | Individual | – | FINANCIAL ADVISOR, DIRECTOR | 07/2023 | < 5% |
| DENNIS, CORINNE MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |