Sageview Advisory Group, Llc
SEC-registered
Institutional / Pension Advisor · Large ($10B–$100B)
CRD 126777
· SEC file 801-64265
· Newport Beach, CA
· FACEBOOK.COM
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $37.5B
- Discretionary
- $37.5B
- Clients
- 915
- Avg AUM / client
- $41.0M
- Accounts
- 1,301
- Employees
- 195
AUM over time
$14.4B
$239B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Asset allocation (SMA assets by investment type)
as of Mar 31, 2026
Registered investment companies (funds/ETFs)
$33.0B
88%
Pooled investment vehicles
$3.8B
10%
Exchange-traded equities
$375M
1%
Investment-grade corporate bonds
$375M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Investments (13F portfolio — 2,610 positions, $2,957,576,829)
13F period Dec 31, 2025| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | CORE US AGGBD ET | $361,940,385 | 3,623,752 | 12.2% | 0.97% |
| 2 | Vanguard Scottsdale Fds | VNG RUS1000VAL | $272,823,293 | 2,955,832 | 9.22% | 0.73% |
| 3 | Vanguard Scottsdale Fds | VNG RUS1000GRW | $246,855,299 | 2,027,559 | 8.35% | 0.66% |
| 4 | Schwab Strategic Tr | INTL EQTY ETF | $158,948,954 | 6,611,853 | 5.37% | 0.42% |
| 5 | Vanguard Index Fds | EXTEND MKT ETF | $135,681,283 | 648,820 | 4.59% | 0.36% |
| 6 | Schwab Strategic Tr | EMRG MKTEQ ETF | $110,005,130 | 3,358,935 | 3.72% | 0.29% |
| 7 | Ishares Tr | CORE INTL AGGR | $108,550,439 | 2,170,574 | 3.67% | 0.29% |
| 8 | Ishares Tr | GLOBAL REIT ETF | $81,951,503 | 3,284,630 | 2.77% | 0.22% |
| 9 | Schwab Strategic Tr | INTL SCEQT ETF | $79,864,593 | 1,754,109 | 2.7% | 0.21% |
| 10 | Apple Inc | COM | $51,875,618 | 190,817 | 1.75% | 0.14% |
| 11 | Spdr Series Trust | STATE STREET SPD | $34,147,741 | 1,442,659 | 1.15% | 0.09% |
| 12 | Ishares Tr | NATIONAL MUN ETF | $32,341,802 | 301,950 | 1.09% | 0.09% |
| 13 | Microsoft Corp | COM | $32,212,033 | 66,606 | 1.09% | 0.09% |
| 14 | Nvidia Corporation | COM | $29,786,274 | 159,712 | 1.01% | 0.08% |
| 15 | Ishares Tr | CORE S&P500 ETF | $29,046,385 | 42,407 | 0.98% | 0.08% |
| 16 | Ishares Tr | JPMORGAN USD EMG | $25,465,438 | 264,493 | 0.86% | 0.07% |
| 17 | Vanguard Index Fds | TOTAL STK MKT | $18,774,717 | 55,999 | 0.63% | 0.05% |
| 18 | T Rowe Price Etf Inc | CAP APPRECIATION | $18,570,936 | 485,896 | 0.63% | 0.05% |
| 19 | Alphabet Inc | CAP STK CL A | $18,348,496 | 58,621 | 0.62% | 0.05% |
| 20 | Ishares Tr | CORE MSCI EAFE | $16,520,906 | 184,674 | 0.56% | 0.04% |
| 21 | Amazon Com Inc | COM | $16,478,523 | 71,391 | 0.56% | 0.04% |
| 22 | Flexshares Tr | MORNSTAR USMKT | $16,274,258 | 65,441 | 0.55% | 0.04% |
| 23 | Procter And Gamble Co | COM | $14,448,093 | 100,817 | 0.49% | 0.04% |
| 24 | Ishares Tr | CORE S&P MCP ETF | $14,173,527 | 214,750 | 0.48% | 0.04% |
| 25 | Meta Platforms Inc | CL A | $14,144,979 | 21,429 | 0.48% | 0.04% |
Top 25 of 2,610 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 124 | $54.8M | 0.15% |
| High net worth individuals | 95 | $469M | 1.25% |
| Pension and profit sharing plans | 668 | $35.6B | 95.0% |
| State or municipal government entities | 19 | $1.3B | 3.5% |
| Corporations and other businesses | 9 | $35.9M | 0.1% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 493.
People (101)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jonathan Tyler Upham | President | Oct 2006 (20y) | Less than 5% | |
| Pfeiffer, Natasha, Irina | Chief Legal Officer | Jun 2023 (3y) | Less than 5% | |
| Longley, John, Turnbull | Chief Executive Officer | Sep 2023 (3y) | Less than 5% | |
| Walsh, Christina, Marie | Chief Financial Officer | Apr 2024 (2y) | Less than 5% | |
| Dagmara Katarzyna Frankowska | Chief Compliance Officer | Jun 2024 (2y) | Less than 5% | |
| Matthew Craig Hammonds | Registered representative | Sep 2003 (23y) | ||
| Robert Todd Trethewey | Registered representative | Jan 2007 (20y) | ||
| Stephen Richard Popper | Registered representative | Jan 2007 (20y) | ||
| John Phillip Evans | Registered representative | Jan 2007 (20y) | ||
| Jeffrey Michael Petrone | Registered representative | Jan 2008 (19y) | ||
| Nichole Reidy Labott | Registered representative | Mar 2009 (17y) | ||
| Clinton Edward Heine | Registered representative | Mar 2009 (17y) | ||
| Robert John Patton | Registered representative | Jun 2009 (17y) | ||
| David Shnapek | Registered representative | Jul 2009 (17y) | ||
| Mark Stevens Forkey | Registered representative | Jul 2009 (17y) | ||
| Douglas Anthony Webster | Registered representative | Sep 2011 (15y) | ||
| John Mack Majors | Registered representative | CFA | Dec 2011 (15y) | |
| Brien Todd Stewart | Registered representative | CFA | Jan 2012 (15y) | |
| Jeffrey Micheal Gratton | Registered representative | Jan 2012 (15y) | ||
| Michael Andrew Coelho | Registered representative | Apr 2012 (14y) | ||
| Justin Frederick Bogart | Registered representative | Feb 2013 (13y) | ||
| Daniel James Quirk | Registered representative | CFP CFA | Mar 2013 (13y) | |
| Julie Jiyoun Kim | Registered representative | Apr 2013 (13y) | ||
| Nicholas Lawrence Jahn | Registered representative | Aug 2013 (13y) | ||
| Richard A Ginel | Registered representative | Aug 2013 (13y) | ||
| Garrett Justin Stinson | Registered representative | Mar 2014 (12y) | ||
| Jon Clarke Chambers | Registered representative | Apr 2014 (12y) | ||
| Christopher Gerard Reagan | Registered representative | Nov 2014 (12y) | ||
| Kevin Michael Kaiser | Registered representative | Nov 2014 (12y) | ||
| William Robert Posch | Registered representative | Jan 2015 (12y) | ||
| Matthew Thomas Anderson | Registered representative | Apr 2015 (11y) | ||
| Catherine Constance Christ | Registered representative | May 2015 (11y) | ||
| Rodney Balbuena | Registered representative | May 2015 (11y) | ||
| Kerrie Jm Casey | Registered representative | Sep 2015 (11y) | ||
| Mark Malcolm Foster | Registered representative | Oct 2015 (11y) | ||
| Stuart James Payment | Registered representative | Apr 2016 (10y) | ||
| Jacob Samuel Oshaughnessy | Registered representative | Apr 2016 (10y) | ||
| Ann Felkner Cheu | Registered representative | May 2016 (10y) | ||
| David Wayde Lum | Registered representative | May 2016 (10y) | ||
| Robert John Noll | Registered representative | Sep 2016 (10y) | ||
| Ryan James Biggs | Registered representative | Sep 2017 (9y) | ||
| Patrick Thomas Raynor | Registered representative | CFA | Oct 2017 (9y) | |
| Kevin Christopher Schmeits | Registered representative | Nov 2017 (9y) | ||
| Ryan Scott Manaker | Registered representative | Aug 2018 (8y) | ||
| Thomas John Demko | Registered representative | Aug 2018 (8y) | ||
| Lucas M Barton | Registered representative | Oct 2018 (8y) | ||
| Kenneth Gregory Barnes | Registered representative | CFP | Nov 2018 (8y) | |
| Rodney Kauffman | Registered representative | Feb 2019 (7y) | ||
| Brian Mahoney | Registered representative | Jul 2019 (7y) | ||
| Lisa Marie Drake | Registered representative | Jul 2019 (7y) | ||
| Thomas John Arcuri | Registered representative | Oct 2019 (7y) | ||
| Deanna Powell Spivey | Registered representative | Jan 2020 (7y) | ||
| Jonathan Edward St. Clair | Registered representative | Jan 2020 (7y) | ||
| Derrick Kyle Byrd | Registered representative | CFP | Apr 2020 (6y) | |
| Margarita Cross | Registered representative | Sep 2020 (6y) | ||
| Maressa Etzig Marin | Registered representative | CFP | Oct 2020 (6y) | |
| Scott Robertson Ondek | Registered representative | Nov 2020 (6y) | ||
| Larkin Stockdale Walsh | Registered representative | Nov 2020 (6y) | ||
| Lester Scott Pyle | Registered representative | Chartered Financial Consultant | Nov 2020 (6y) | |
| Panfilo Costantini | Registered representative | Dec 2020 (6y) | ||
| Lukas Joseph Arnerich | Registered representative | Apr 2021 (5y) | ||
| Marc A Schmeeckle | Registered representative | Jul 2021 (5y) | ||
| Joseph Tyler Whatley | Registered representative | Oct 2021 (5y) | ||
| Irving Monroe Isaacson | Registered representative | Nov 2021 (5y) | ||
| James Dean Mcdonald | Registered representative | Nov 2021 (5y) | ||
| Steven Donald Woodley | Registered representative | Nov 2021 (5y) | ||
| Arlie Wilson Green | Registered representative | Dec 2021 (5y) | ||
| Matthew James Gulseth | Registered representative | CFP | Dec 2021 (5y) | |
| Lisa Ann Quinn | Registered representative | Feb 2022 (4y) | ||
| Stephan John Miskjian | Registered representative | CFP CFA | Mar 2022 (4y) | |
| Steven Samuel Sansone | Registered representative | Mar 2022 (4y) | ||
| Cody Matthew Klein | Registered representative | Jun 2022 (4y) | ||
| Christine Emma Quintero | Registered representative | Jun 2022 (4y) | ||
| Neil Eric Elmouchi | Registered representative | Chartered Financial Consultant | Jun 2022 (4y) | |
| Cullen Krull Reif | Registered representative | Aug 2022 (4y) | ||
| Lisa Anna Koscielny | Registered representative | Sep 2022 (4y) | ||
| Daniel Robert Stewart | Registered representative | Sep 2022 (4y) | ||
| Susan Lynn Hajek | Registered representative | Feb 2023 (3y) | ||
| Anthony Franchimone | Registered representative | May 2023 (3y) | ||
| Larry Robert Deatherage | Registered representative | May 2023 (3y) | ||
| Sarah Elizabeth Parker | Registered representative | Jul 2023 (3y) | ||
| John Ahern Lockwood | Registered representative | Oct 2023 (3y) | ||
| Daniel K Palmer | Registered representative | CFP | Dec 2023 (3y) | |
| Michael John Malone | Registered representative | Dec 2023 (3y) | ||
| Adam Mitchell Voeste | Registered representative | Feb 2024 (3y) | ||
| John Aylward Fletcher | Registered representative | Mar 2024 (2y) | ||
| Benjamin Andrew Sithens | Registered representative | Apr 2024 (2y) | ||
| Kristen L Cockroft | Registered representative | Apr 2024 (2y) | ||
| Garrett Dale Patton | Registered representative | Sep 2024 (2y) | ||
| Doug Michael O'rear | Registered representative | Dec 2024 (2y) | ||
| Michael Alan Warford | Registered representative | CFA | Jul 2025 (1y) | |
| Alison Anne Bettonville | Registered representative | CFA | Aug 2025 (1y) | |
| Amy Lynn Sullivan | Registered representative | Aug 2025 (1y) | ||
| Michael Adrian Rarey | Registered representative | CFA | Aug 2025 (1y) | |
| Christopher John Lo Giurato | Registered representative | Sep 2025 (1y) | ||
| Alexis Erin Gallati | Registered representative | Jan 2026 (1y) | ||
| Paul Gareth Nacario | Registered representative | Feb 2026 (0y) | ||
| Edward Ashley Wagner | Registered representative | Apr 2026 (0y) | ||
| Mallory Faye Jackson | Registered representative | CFP | May 2026 (0y) | |
| Michael Oliver Mcatamney | Registered representative | Jun 2026 (0y) | ||
| Desiree Diane Cruise | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Aq Sage Buyer, Llc | Direct Owner | Dec 2020 | A | 75% or more |
| Aq Sage Intermediate Ii, Llc | Member | Dec 2020 | B | ≈ 56.25% – 100% via Aq Sage Buyer, Llc |
| Aq Sage Intermediate I, Llc | Member | Dec 2020 | B | ≈ 42.19% – 100% via Aq Sage Intermediate Ii, Llc |
| Aq Sage Parent, L.P. | Limited Partner | Dec 2020 | B | ≈ 31.64% – 100% via Aq Sage Intermediate I, Llc |
| Afsf Iv Aiv A L.P. | Limited Partner | Dec 2020 | B | ≈ 15.82% – 75% via Aq Sage Parent, L.P. |
| Aq Sage Parent G.P., Llc | General Partner | Dec 2020 | B | GP / trustee / elected manager of Aq Sage Parent, L.P. (indirect) |
| Aquiline Capital Partners Iv Gp (Offshore) Ltd. | General Partner | Dec 2020 | B | GP / trustee / elected manager of Afsf Iv Aiv A L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Aq Sage Intermediate Ii, Llc: 75% – 100% of Aq Sage Buyer, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Aq Sage Intermediate I, Llc: 75% – 100% of Aq Sage Intermediate Ii, Llc × 75% – 100% of Aq Sage Buyer, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Aq Sage Parent, L.P.: 75% – 100% of Aq Sage Intermediate I, Llc × 75% – 100% of Aq Sage Intermediate Ii, Llc × 75% – 100% of Aq Sage Buyer, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Afsf Iv Aiv A L.P.: 50% – 75% of Aq Sage Parent, L.P. × 75% – 100% of Aq Sage Intermediate I, Llc × 75% – 100% of Aq Sage Intermediate Ii, Llc × 75% – 100% of Aq Sage Buyer, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Road Scholar Retirement Plan | Elderhostel Inc. | 611 | $98.2M | 10/01/2024 |
| Ampac Fine Chemicals Llc Salaried Employees 401(k) Plan | Ampac Fine Chemicals Llc | 407 | $105M | 10/01/2024 |
| Ampac Fine Chemicals Llc Bargaining Unit 401(k) Plan | Ampac Fine Chemicals Llc | 191 | $44.9M | 10/01/2024 |
| The New Community School 403(b) Dc Plan | The New Community School Foundation | 82 | $11.3M | 09/01/2024 |
| The Howard School, Inc. 401(k) Plan | The Howard School, Inc. | 112 | $13.5M | 08/01/2024 |
| Pension Plan For Employees Of Connecticut Business & Industry Assoc. Inc. Cbia Service Corp. And Cbia Education Foundation, Inc. | Connecticut Business & Industry Association. Inc. | 17 | $36.6M | 07/01/2024 |
| Fenway Community Health Center, Inc. Tax Sheltered Annuity And Profit Sharing Plan | Fenway Community Health Center, Inc. | 411 | $72.4M | 07/01/2024 |
| Waymakers 401(k) Plan | Waymakers | 279 | $18.6M | 07/01/2024 |
| Kipp Bay Area Schools 401(k) Plan | Kipp Bay Area Schools | 872 | $67.3M | 07/01/2024 |
| E. J. Harrison & Sons, Inc. & Affiliated Employers Profit Sharing 401 K Plan | E.J.Harrison & Sons, Inc. | 277 | $45.8M | 07/01/2024 |
| Parents And Children Together 401(k) Retirement Savings Plan | Parents And Children Together | 339 | $18.6M | 07/01/2024 |
| Pension Plan For Employees Of East Tennessee Children's Hospital | East Tennessee Children's Hospital Association, Inc. | 709 | $46.4M | 07/01/2024 |
| Foundation For Blind Children 403(b) Dc Plan | Foundation For Blind Children | 149 | $10.1M | 07/01/2024 |
| Ole Health 403(b) Plan | Ole Health | 827 | $58.0M | 07/01/2024 |
| Kansas City Symphony 403(b) Retirement Plan | Kansas City Symphony | 114 | $15.5M | 07/01/2024 |
| Central Container Corporation Retirement Savings Plan | Central Container Corporation | 108 | $11.2M | 06/01/2024 |
| Sixteenth Street Community Health Center, Inc. Retirement Plan | Sixteenth Street Community Health Center, Inc. | 518 | $34.0M | 04/01/2024 |
| Housecanary 401(k) Plan | Housecanary Inc. | 66 | $8.9M | 01/01/2024 |
| Newmark 401(k) Plan | Newmark Group, Inc. | 3,520 | $285M | 01/01/2024 |
| Informatica Llc 401(k) Retirement Plan | Informatica Llc | 1,654 | $613M | 01/01/2024 |
| Yanka Industries, Inc. Retirement Plan | Yanka Industries, Inc. Dba Masterclass | 231 | $19.9M | 01/01/2024 |
| Illumina, Inc. 401(k) Plan | Illumina, Inc. | 5,088 | $1.1B | 01/01/2024 |
| Cumulus Media 401(k) Plan | Cumulus Radio Corporation | 3,094 | $262M | 01/01/2024 |
| Tampa Bay Rays 401 K Plan | Tampa Bay Rays Baseball Ltd. | 588 | $60.8M | 01/01/2024 |
| Atd 403(b) Employee Savings Plan | American Society For Training And Development | 166 | $31.1M | 01/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.79 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Civil judicial
as of Nov 07, 2024
Allegations: BREACH OF FIDUCIARY DUTY AND FRAUD. Status: Final Summary: MR. COLLETT WAS A HIGH NET WORTH CLIENT THAT IS CLAIMING HIS INVESTMENTS WERE UNSUITABLE FOLLOWING THE MARKET DOWNTURN. MR. COLLETT WAS SEEKING RESTITUTION FOR LOSSES IN HIS ACCOUNT. A SETTLEMENT WAS REACHED FOR $112,500.
Regulatory · Item 11.D(2)
as of Nov 07, 2024
Allegations: REGISTRATION ERROR. ED WAGNER, AN ADVISOR LOCATED IN NEVADA, WAS NOT REGISTERED AS AN INVESTMENT ADVISOR OF THE FIRM IN NEVADA. SAGEVIEW ADVISORY GROUP WAS REGISTERED IN NEVADA. MR. WAGNER DID NOT HAVE ANY CLIENTS IN NEVADA. Status: Final Sanction Detail: $500 FINE AGAINST THE FIRM. AMOUNT PAID ON 10/15/2009 Summary: SAGEVIEW PAID THE $500 FINE FOR THE OVERSIGHT OF MR. WAGNER'S LICENSING.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Gwfs Equities, Inc. $19.6B (11% of AUM) Jul 2022
- Fidelity Brokerage Services $17.9B (48% of AUM) Mar 2026
- Tiaa Cref Individual & Institutional Services, Llc $11.1B (8% of AUM) Mar 2022
- Empower Financial Services, Inc. $6.6B (18% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗