Sageguard Financial Group, LLC (Goodlettsville)

Name: Sageguard Financial Group, LLC
Address: 3066 Business Park Circle, Goodlettsville, TN, 37072
Telephone: (615) 859-4567

Sageguard Financial Group, LLC is a large advisory firm based in Goodlettsville. It manages $264.7 million of regulatory assets for 2,871 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Arizona, California, Florida, and 13 other states.

Sageguard Financial Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, publication of newsletters, and educational seminars and workshops. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sageguard Financial Group: assets under management

The assets under management (AUM) of Sageguard Financial Group, LLC is $264.7 million. The firm's AUM has grown by 164% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $238.23 million in discretionary accounts and $26.47 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $92.19 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $92.23 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 46% of the total AUM. The second-largest asset type is investment and business development companies, which make up 32% of the firm’s portfolio. Investments in cash and cash equivalents form 18% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sageguard Financial Group, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sageguard Financial Group serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Sageguard Financial Group is individuals with 2,841 clients and $222.59 million of assets under management. Among the 12 most similar advisory firms, Sageguard Financial Group has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $264.7 million for 2,871 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Sageguard Financial Group doesn't advise any private funds.

Careers at Sageguard Financial Group, LLC

The company employs 12 people that are either part- or full-time employees. 92 percent of the employees work as investment advisers or researchers. 11 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Darwin Douglas Johnson	Managing member/chief compliance officer	1 Dec 2011	50% - 75%	4147691
Paula Christine Johnson	Silent member	1 Dec 2011	50% - 75%	5827777

Based in Goodlettsville

The principal office where Sageguard Financial Group, LLC performs its advisory services is located at 3066 Business Park Circle, Goodlettsville, TN 37072, which is also the mailing address of the firm. An additional office of the firm is in Sugar Land, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (615) 859-4567 or by fax (615) 859-4588. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at pineywoodsfinancial.com.