SAGEVIEW PRIVATE CLIENT GROUP, LLC of NEWPORT BEACH, CA is an SEC-registered investment adviser (CRD 134997).
Compensation: Hourly, Fixed.
Clients served: Individuals, Other.
| Name | Role | Location |
|---|---|---|
| Jonathan Tyler Upham | PRESIDENT | — |
| Dagmara Katarzyna Frankowska | CHIEF COMPLIANCE OFFICER | — |
| Natasha Irina Pfeiffer | CHIEF LEGAL OFFICER | — |
| John Turnbull Longley | CHIEF EXECUTIVE OFFICER | — |
| Christina Marie Walsh | CHIEF FINANCIAL OFFICER | — |
| LONG RANDALL CRAIG | MANAGING PRINCIPAL; MEMBER | — |
| WALSH ANGELA MARIE | CHIEF FINANCIAL OFFICER | — |
| BECKER BROCK MARTIN | CHIEF COMPLIANCE OFFICER | — |
| UPHAM JONATHAN TYLER | MEMBER; PRESIDENT | — |
| HENDRICKSON MARK SHIGERU | CHIEF FINANCIAL OFFICER | — |
| BYUN MICHAEL T | CHIEF COMPLIANCE OFFICER | — |
| MERID SHARINA MARIA | CHIEF COMPLIANCE OFFICER | — |
| PFEIFFER NATASHA IRINA | CHIEF LEGAL OFFICER | — |
| FRANKOWSKA DAGMARA K | CHIEF COMPLIANCE OFFICER | — |
| LONGLEY JOHN TURNBULL | CHIEF EXECUTIVE OFFICER | — |
| FRANKOWSKA DAGMARA KATARZYNA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2010-02-01 | civil | BREACH OF FIDUCIARY DUTY AND FRAUD. | Final | — |
| 2009-10-06 | regulatory | 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. | Final | $500 |
| City | State | Employees | Phone |
|---|---|---|---|
| KNOXVILLE | TN | 2 | 800-471-5336 |
| KNOXVILLE | TN | 2 | 800-471-5336 |