SAGE STONE WEALTH MANAGEMENT LLC
Adviser information for SAGE STONE WEALTH MANAGEMENT LLC last updated from Form ADV on March 29th, 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 | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 403 | $192.9M |
| Non-Discretionary | 6 | $5.8M |
| Total | 409 | $198.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 54 | $15.2M |
| HNW Individuals | 51 | $161.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 2 | $2.7M |
| Charitable organizations | 6 | $18.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1 | $238,076 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshopsPORTFOLIO MONITORING SERVICES |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-91170 |
|---|---|
| SEC ERA File Number | 801-91170 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155477 |
| Legal Entity Identifier | None |
Principal Office
7946 IVANHOE AVENUESUITE 316
LA JOLLA
CA
United States
Monday - Friday, 7AM TO 4PM
Tel: 858-412-6404, Fax: 858-605-9608
Websites
Chief Compliance Officer
MARY NABER
PRESIDENT & MANAGING MEMBER
7946 IVANHOE AVENUE
SUITE 316
LA JOLLA
CA
United States
Tel:
858-412-6404
Fax:
858-605-9608
M*********@******************M
(Full email address available in API data)
Regulatory Contact
MICHAEL LOPEZ
VICE PRESIDENT
7946 IVANHOE AVENUE
SUITE 316
LA JOLLA
CA
United States
Tel:
858-412-6404
Fax:
858-605-9608
M************@******************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 |
|---|---|---|---|---|---|
| NABER, MARY | Individual | – | MANAGING MEMBER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER | 11/2010 | > 75% |
| LOPEZ, ROY, MICHAEL | Individual | – | VICE PRESIDENT | 06/2022 | 10-25% |