Sage Investment Management is a investment adviser based in Lafayette, CA, that has not yet been scored, with 1 registered advisor. Score based on public SEC and FINRA filings.
registered
Sage Investment Management
Sage Investment Management · CRD #113008
A fee-only investment adviser with a clean regulatory record and fiduciary commitment.
No longer registered
This firm is no longer registered with the SEC, any state regulator, or FINRA. We don't score firms that are no longer registered.
The firm’s regulatory record stays available below. A firm can stop being registered for many ordinary reasons, including closing, merging, or the owner retiring.
Fidelon Fact Sheet
Sage Investment Management is a state-registered investment adviser in Lafayette, CA. Its one registered advisor typically serves individuals and families, nonprofit organizations and corporations. It manages $2.7 million across 6 client accounts. It charges a yearly percentage of your account. Its record shows no customer complaints, regulatory actions or fines.
How This Firm Works
Registration & Standard of Care
Investment Adviser — this firm is a registered investment adviser, held to a fiduciary standard — legally required to act in clients' best interests.
How This Firm Gets Paid
- Charges a percentage of assets under management
- Does not earn commissions on product sales
What you’d pay
Blended across 1 tiers, from $0 - $2,000,000.
This fee is negotiable
“Negotiable………Over $2,000,000”
From their Form ADV Part 2A. Most investors never ask.
Not included above
- • There are no other fees charged by SAGE Investment Management
Estimated from the firm’s Form ADV Part 2A brochure — not a quote. Actual fees are set in your agreement and may differ. Costs charged by others (custodians, fund managers) are not included.
What This Firm Charges
| Account Size | Annual Fee |
|---|---|
| $0 - $2,000,000 | 1.00% |
| $2,000,000 - $4,000,000 | 0.75% |
| $0 - $2,000,000 | 0.50% |
| $4,000,000 and above | 0.63% |
Billed quarterly
Extracted from Form ADV Part 2A brochure
Specializations
Extracted from Form ADV Part 2A brochure
Who They Typically Serve
Extracted from Form ADV Part 2A brochure
Key Findings
Strengths
- Fee-only compensation — no commission income reported
- Registered as investment adviser with fiduciary obligation
- No broker-dealer registration — advisory services only
- Clean regulatory record — no disclosures, arbitrations, or fines
Conflict Audit
Zero material conflicts identified in regulatory filings.
Source: Form ADV Part 1, Items 6-8; Part 2A, Items 10-14
Regulatory Track Record
0
Disclosures
Clean record — no disclosures found
$0
Total Fines
Clean record — no fines found
Regulatory Events
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Frequently Asked Questions
What does the TransparencyScore measure?
The TransparencyScore measures how clearly and completely an advisor or firm discloses important information in their regulatory filings — things like fees, conflicts of interest, disciplinary history, and business practices. A higher score means better disclosure quality, not better investment performance.
Where does this data come from?
All data comes from public regulatory filings: SEC Form ADV (Parts 1, 2, and 3), FINRA BrokerCheck, and the SEC's Investment Adviser Public Disclosure (IAPD) database. These are official filings that firms and advisors are legally required to submit.
Does a low score mean they're a bad advisor?
Not necessarily. A low score means the firm's public filings are less transparent — they may use vague language about fees, skip details about conflicts, or have a more complex regulatory history. Some excellent advisors work at firms with poor disclosure practices. The score measures the filing, not the person.
How often is this data updated?
Fidelon refreshes data from SEC and FINRA sources on a regular schedule. Form ADV filings are updated annually by firms (with amendments throughout the year), and BrokerCheck data is updated as events are reported. Scores are recalculated after each data refresh.
Can an advisor or firm improve their score?
Yes. Scores are based on what's in public filings. A firm that rewrites its ADV brochure in clearer language, discloses conflicts more specifically, or resolves outstanding regulatory issues will see its score improve at the next refresh. The incentive structure is intentional.
Data Sources
Scores are generated using Fidelon's published scoring methodology and reflect the quality of public disclosures, not the quality of investment advice. A firm that improves its disclosures will see its score improve. Fidelon does not provide investment advice.
Verify on SEC IAPD
Last scored: · Score version: 3.15 · CRD #113008