Hedge Fund Database

SAGE ADVISORY SERVICES LTD CO

Adviser information for SAGE ADVISORY SERVICES LTD CO 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Texas, United States

Employees

Total Number of Employees 53
Investment Advisory/Research 35
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 38
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 8,121 $22.6B
Non-Discretionary 7 $86.6M
Total 8,128 $22.7B

Clients

Type Number RAUM
Individuals 6,773 $3.4B
HNW Individuals 239 $2.8B
Banking or thrift institutions 0 $0
Investment companies 2 $80.9M
Business development companies 0 $0
Pooled investment vehicles 7 $141.1M
Pension and profit sharing plans 230 $5.7B
Charitable organizations 268 $3.5B
State or municipal gov entities 50 $953.2M
Other investment advisers 0 $0
Insurance companies 106 $3.0B
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 453 $3.2B
Other 0 $0
Type Number
No. of Non-RAUM Clients 15
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesMODEL PROVISION STRATEGIES
Compensation % of AUMFixed fees
Other Business Activities Commodity pool operator or commodity trading advisor

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 5.6B
Both for Same 0
Portfolio Manager to Program Sponsor
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LPL FINANCIAL LPL FINANCIAL LLC
ENVESTNET UMA PLATFORM ENVESTNET PMC
NEWEDGE WEATLH, LLC NEW EDGE WEALTH
MANAGER SELECTION PROGRAM CITIGROUP GLOBAL MARKETS INC.
SELECT UMA MORGAN STANLEY
MANAGED ACCOUNT ACCESS CHARLES SCHWAB & CO., INC.
ENVESTNET ENVESTNET PMC
WEALTH ADVISORY SERVICES NORTHERN TRUST SECURITIES, INC
PORTFOLIO MANAGER PROGRAM J.P. MORGAN SECURITIES LLC
CONSULTING SERVICES SMA RAYMOND JAMES & ASSOCIATES, INC.
STRATEGIC INVESTMENT SERVICES J.P. MORGAN SECURITIES LLC
AMC PREMIER TRUIST ADVISORY SERVICES, INC.

Identifiers

SEC RIA File Number 801-52937
SEC ERA File Number 801-52937
SEC CIK Numbers 1534378
SEC CRD Numbers 106236
Legal Entity Identifier 549300SKL8ZTWD7IT150

Principal Office

5900 SOUTHWEST PARKWAY
BUILDING 1, SUITE 100
AUSTIN
TX
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 512-327-5530, Fax: 512-327-5702

Websites

www.sageadvisory.com www.linkedin.com/company/121004/ www.instagram.com/sageadvisory

Chief Compliance Officer

WADE T. ULOTH
CCO
5900 SOUTHWEST PARKWAY
BUILDING 1, SUITE 100
AUSTIN
TX
United States
Tel: 512-327-5530
Fax: 512-327-5702
(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
SMITH, ROBERT, G Individual – PRESIDENT AND CO-CHIEF INVESTMENT OFFICER 09/1996 25-50%
PECK, JR., ROBERT, CHARLES Individual – VICE PRESIDENT 05/2004 10-25%
KRASAN, SEAN, CONAN Individual – VICE PRESIDENT 05/2004 5-10%
URANO, THOMAS, HIDEO Individual – CO-CHIEF INVESTMENT OFFICER 01/2007 10-25%
WILLIAMS, ROBERT, DONALD Individual – EXECUTIVE COMMITTEE MEMBER 01/2007 10-25%
TIMLIN, JEFFERY, SCOTT Individual – VICE PRESIDENT 07/2009 5-10%
SLAIS, JOHN, ROBERT Individual – CHIEF FINANCIAL OFFICER 06/2013 < 5%
WALTON, MICHAEL, DAVID Individual – EXECUTIVE COMMITTEE MEMBER 01/2016 5-10%
ULOTH, WADE, THOMAS Individual – CHIEF COMPLIANCE OFFICER 03/2020 < 5%
MOSER, ROBERT, WAYNE Individual – EXECUTIVE COMMITTEE MEMBER 04/2021 < 5%
Silapachai, komson Individual – VICE PRESIDENT 08/2021 < 5%
DEMAND, ANDREW, KEMETT Individual – VICE PRESIDENT 08/2021 < 5%
HENRY, SETH, BARTLETT Individual – VICE PRESIDENT 08/2021 < 5%
Hartman, ALLISON, CLAIRE Individual – VICE PRESIDENT 08/2021 < 5%
FINLEY, LEONARD, DUSTIN Individual – VICE PRESIDENT 08/2021 < 5%
Ladd, Richard, Cameron Individual – VICE PRESIDENT 08/2021 < 5%
KUDU INVESTMENT US, LLC Domestic Entity – MEMBER CLASS A INTERESTS 12/2023 25-50%
KUDU INVESTMENT HOLDINGS, LLC Domestic Entity KUDU INVESTMENT US, LLC MEMBER 12/2023 > 75%
WM REGENT, LTD Foreign Entity KUDU INVESTMENT HOLDINGS, LLC SHAREHOLDER 12/2023 > 75%
WM INTERNATIONAL HOLDINGS LTD Foreign Entity WM REGENT, LTD SHAREHOLDER 12/2023 > 75%
WM HINSON (BERMUDA), LTD Foreign Entity WM INTERNATIONAL HOLDINGS LTD SHAREHOLDER 12/2023 > 75%
WHITE MOUNTAINS INSURANCE GROUP, LTD Foreign Entity WM HINSON (BERMUDA), LTD SHAREHOLDER 12/2023 > 75%

No. Employees, Historic

6030020202021202220232024202548 on 3/26/202048 on 6/24/202048 on 10/15/202054 on 3/29/202152 on 3/29/202252 on 11/3/202253 on 3/27/202353 on 1/5/202453 on 3/28/2024

RAUM, Historic

30B15B020202021202220232024202512823047755 on 3/26/202012823047755 on 6/24/202012823047755 on 10/15/202013760756018 on 3/29/202115091535736 on 3/29/202215091535736 on 11/3/202215322865201 on 3/27/202315322865201 on 1/5/202422693997435 on 3/28/2024

No. Clients, Historic

9,0004,50002020202120222023202420253078 on 3/26/20203078 on 6/24/20203078 on 10/15/20203624 on 3/29/20213850 on 3/29/20223850 on 11/3/20224888 on 3/27/20234888 on 1/5/20248128 on 3/28/2024

Holdings

From latest 13F, filed August 6th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ETF SER SOLUTIONS DISTILLATE US 26M 509K –
INVESCO EXCH TRD SLF IDX FD RUSL 1000 DYNM 14M 271K –
ISHARES INC MSCI EM ASIA ETF 8M 107K –
ISHARES INC MSCI CDA ETF 12M 314K –
ISHARES INC CORE MSCI EMKT 15M 273K –
ISHARES INC ESG AWR MSCI EM 429K 13K –
ISHARES TR CORE S&P500 ETF 28M 51K –
ISHARES TR 20 YR TR BD ETF 2M 20K –
ISHARES TR 7-10 YR TRSY BD 4M 38K –
ISHARES TR MSCI ACWI ETF 994K 9K –
ISHARES TR JPMORGAN USD EMG 688K 8K –
ISHARES TR MBS ETF 27M 297K –
ISHARES TR ISHS 5-10YR INVT 2M 32K –
ISHARES TR ISHS 1-5YR INVS 7M 136K –
ISHARES TR SHORT TREAS BD 1M 12K –
ISHARES TR 10+ YR INVST GRD 447K 9K –
ISHARES TR MSCI EAFE MIN VL 224K 3K –
ISHARES TR MSCI USA MIN VOL 288K 3K –
ISHARES TR MSCI USA QLT FCT 30M 177K –
ISHARES TR CORE MSCI EAFE 31M 421K –
ISHARES TR 0-5YR HI YL CP 15M 355K –
ISHARES TR MSCI INTL QUALTY 7M 184K –
ISHARES TR ESG AWR MSCI USA 412K 3K –
ISHARES TR ESG AW MSCI EAFE 1M 13K –
ISHARES TR BROAD USD HIGH 11M 302K –
ISHARES U S ETF TR BLACKROCK SH DUR 1M 20K –
J P MORGAN EXCHANGE TRADED F BETABULDRS JAPAN 12M 209K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 564K 10K –
J P MORGAN EXCHANGE TRADED F US QUALTY FCTR 29M 555K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 9M 183K –
JANUS DETROIT STR TR HENDERSON MTG 950K 21K –
NUSHARES ETF TR NUVEEN ESG LRGVL 373K 10K –
NUSHARES ETF TR NUVEEN ESG SMLCP 234K 6K –
PACER FDS TR DEVELOPED MRKT 7M 223K –
PACER FDS TR US CASH COWS 100 26M 480K –
POWERSHARES ACTIVELY MANAGED ULTRA SHRT DUR 5M 95K –
SIMPLIFY EXCHANGE TRADED FUN SHORT TERM TREA 472K 22K –
SPDR SER TR NUVEEN BLOOMBERG 5M 183K –
SPDR SER TR ICE PFD SEC ETF 7M 195K –
SPDR SER TR BLOOMBERG SHT TE 2M 66K –
SPDR SER TR S&P 500 ESG ETF 410K 8K –
SPDR SER TR BLOOMBERG HIGH Y 1M 15K –
TCW ETF TRUST TRANSFRM 500 ETF 606K 10K –
VANECK ETF TRUST EMERGING MRKT HI 848K 44K –
VANECK ETF TRUST JP MRGAN EM LOC 4M 187K –
VANGUARD WORLD FD ESG US STK ETF 667K 7K –