SAGENT WEALTH MANAGEMENT of LAGUNA BEACH, CA is an SEC-registered investment adviser (CRD 147890). Regulatory assets under management: $100.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Brown T Michael | CHIEF COMPLIANCE OFFICER | Calgary, A0 |
| Marshall Glen Eichenauer | PRESIDENT/CHIEF COMPLIANCE OFFICER; TRUSTEE, THE MARSHALL EICHENAUER JR. SEPARATE PROPERTY TRUST | Newport Beach, CA |
| EICHENAUER TERI ANN | CO-TRUSTEE; CO-TRUSTEE, THE EICHENAUER FAMILY TRUST; MEMBER/CHIEF COMPLIANCE OFFICER | — |
| EICHENAUER JR MARSHALL G | CHIEF COMPLIANCE OFFICER; CO-TRUSTEE | — |
| EICHENAUER JR MARSHALL GLEN | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER; CO-TRUSTEE, THE EICHENAUER FAMILY TRUST (+2 more) | — |
| DATZMAN IRIS JOANNE | CHIEF COMPLIANCE OFFICER | — |
| CHU KITTY KA-HEI | CHIEF COMPLIANCE OFFICER | — |
| BECKET ANDREW THOMAS | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-09-22 | regulatory | FAILURE TO DISCLOSE CONFLICT OF INTEREST | Final | $165K |