SagePoint Financial Inc.

SagePoint Financial Inc.

A subsidiary of Advisor Group

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20 E THOMAS RD Suite 2000

Phoenix, AZ 85012

(866) 462-4432

sagepointfinancial.com

Clearing firm: National Financial Services LLC, Pershing LLC

No. advisers: 2,344

AUM: $45,705,419,397

Year founded: 1970

Year end: Dec. 31

No. of retail offices: 880

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Additional data available to subscribers:
  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

CEOJeff Auld
Recruiting ContactGenevieve Sisco
(866) 462-4432
E-mail
Compliance ContactMary Simonson
(602) 744-3000
E-mail
Marketing ContactSusan Theder
E-mail
Technology Operations ContactEd Obuchowski
602-262-3304
E-mail

Recruitment & Staffing

2017 2016 2015
No. of reps2,3442,3231,687
No. of producing reps1,3971,3821,276
No. of reps producing $100K-$499K /year578580599

Payout grid is available to Data Center subscribers only.

Subscribe or log in to the B-D Data Center for access to all available data.

2017 2016 2015
Total revenues$351,696,921$307,558,000$312,337,000
Commission revenues$180,233,661$169,957,000$182,798,000
Fee revenues$109,180,555$102,785,000$98,075,000
Total revenues: Other$62,282,706$34,816,000$31,464,000
2017 2016 2015
Total account assets$45,705,419,397$39,072,712,432$36,165,300,000
Fee-based assets$13,530,424,125$10,793,675,338$9,593,415,222
Total account assets: Other$32,174,995,273$28,279,037,094$26,571,884,778
Average assets per rep$19,498,899$16,819,936$21,437,641
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?Y
Primary purpose of mobile applicationClient and contact management. Also have mobile solution for account opening and VA straight through processing.

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January 23, 2018 - The Advisor Group, the Phoenix, Ariz.-based parent of four independent broker-dealers, said that recruited a record 614 advisers last year. The firm, which consists of FSC Securities Corporation, Royal Alliance Associates, SagePoint Financial and Woodbury...

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Top clearing and custody firms for financial advisers

August 7, 2017 - CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2016 Contact Phone/email Pershing (800) 445-4467 714* -3.90% Michael Row (800) 445-4467 One Pershing Plaza, Jersey City, NJ 07399 pershing.com/who-we-serve/broker-dealers...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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