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SAFEGUARD WEALTH MANAGEMENT

· CRD 306953 · IAPD ↗ · safeguardinvest.com · 920-544-0576

$601.0MRegulatory AUM
4Advisory reps
10Employees
0Clients
101-250Planning clients
0Private funds
16States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
May 2025 — SAFEGUARD WEALTH MANAGEMENT (location n/a) left the SEC roster (was $601.0M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
53
March 2025 — SAFEGUARD WEALTH MANAGEMENT shrank from 7 to 4 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
53
March 2025 — SAFEGUARD WEALTH MANAGEMENT added office(s): 6 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
March 2025 — SAFEGUARD WEALTH MANAGEMENT crossed $500M in regulatory AUM ($338.5M -> $601.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
53
March 2024 — SAFEGUARD WEALTH MANAGEMENT added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
73
March 2024 — SAFEGUARD WEALTH MANAGEMENT reported RAUM up 84% ($183.6M -> $338.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.