# SAGEPOINT FINANCIAL, INC.

SAGEPOINT FINANCIAL, INC. of PHOENIX, AZ is an SEC-registered investment adviser.

## Registration

- CRD: 133763
- Type: SEC-registered investment adviser
- SEC file number: 801-64721
- Location: 20 E. THOMAS ROAD, SUITE 2000, PHOENIX, AZ, 85012
- Phone: 1-800-552-3319 EXT 2606
- Latest filing: 2023-09-18
- Regulatory AUM: $16.5B
- Discretionary AUM: $13.4B
- Non-discretionary AUM: $3.1B
- Clients: 3,563
- Accounts: 86,848

## Officers, owners & control persons (72)

_Showing 25 of 72 people._

| Name | Role | Location |
| --- | --- | --- |
| CANNON JAMES RICHARD | PRESIDENT, CEO, DIRECTOR | — |
| KUBICA LISA SUE | E.V.P., COO, SROP; E.V.P., COO, SROP, MP | — |
| RADFORD CHRISTOPHER BLAKE | EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER; EXECUTIVE VICE PRESIDENT, NATIONAL SALES MANAGER, SROP | — |
| CAVANAUGH MARY LOUISE | DIRECTOR | — |
| SONCHIK RITA LYNN | V.P. ACCOUNTING; V.P. BUSINESS ANALYST AND CONTROL | — |
| STAUFFER RALPH OWEN JR | V.P. INFORMATION TECHNOLOGY | — |
| MCREYNOLDS MICHAEL RONALD | ASSISTANT V.P. INSURANCE | — |
| ROTHSTEIN STEVEN ELLIOT | CHIEF FINANCIAL OFFICER; DIRECTOR, E.V.P.,CFO, TREASURER; E.V.P.,CFO, TREASURER | — |
| FIELDS INGER WILSON | FINOP; FNOP; VICE PRESIDENT, TREASURER AND FINOP | — |
| BOURDAMIS SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES; V.P., BROKERAGE SERVICES | — |
| CAPRIOTTI JACQUELYN MARIE | V.P. VISION 2020 | — |
| DORFMAN KENNETH PAUL | CROP | — |
| KARSAY LEXI MIKLOS | FIRST VICE PRESIDENT, CUSTOMER SERVICE AND COMMISSIONS | — |
| STADJUHAR KAREN ELIZABETH | V.P. BRANCH SUPERVISION; V.P. BRANCH SUPERVISION, SROP | — |
| JOHNSON KEITH WINDSOR | V.P. BUSINESS DEVELOPMENT | — |
| ROSEN DIANE SCHLISSEL | ASSISTANT V.P. DIRECTOR OF INVESTMENT RESEARCH | — |
| GAUGHAN BRIDGET MARY | E.V.P. GENERAL COUNSEL, SECRETARY | — |
| DENBY SUSANNE MARIE | CHIEF COMPLIANCE OFFICER; FIRST V.P., CHIEF COMPLIANCE OFFICER; V.P., CCO (+1 more) | — |
| PARKER RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | — |
| SMITH JAMES RICHARD | MANAGER, NATIONAL SALES BUSINESS ANALYST | — |
| HOFLING PHILLIP ALDEN | VICE PRESIDENT, LEGAL | — |
| HELM LESTER | VICE PRESIDENT, EDUCATION, TRAINING & MARKETING COMMUNICATIONS | — |
| FREEMAN BRUCE TODD | ASSISTANT VICE PRESIDENT, DIRECTOR OF TRADING, MUNICIPAL PRINCIPAL; ASSOCIATE VICE PRESIDENT, DIRECTOR OF TRADING, MUNICIPAL PRINCIPAL; VP, DIRECTOR OF TRADING & COMMISSIONS, MUNICIPAL PRINCIPAL | — |
| PRATER HELEN HOWARD | DIRECTOR, SENIOR VICE PRESIDENT, OPERATIONS | — |
| SCHLUETER MATTHEW ADAM | CHIEF ADMINISTRATIVE OFFICER, EVP; CHIEFOPERATIONS OFFICER; DIRECTOR, CHIEF OPERATIONS OFFICER, EVP (+3 more) | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/133763/brochure
- Similar advisers: https://search.stillhousedata.com/firm/133763/similar
- Related entities: https://search.stillhousedata.com/firm/133763/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/133763

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.