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SAGE TRADING COLLECTIVE

· CRD 337481 · IAPD ↗ · sagetradingcollective.com · 419-350-8981

$1.22BRegulatory AUM
2Advisory reps
4Employees
0Clients
n/aPlanning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
October 2026 — SAGE TRADING COLLECTIVE (location n/a) left the SEC roster (was $1.22B RAUM, 2 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
August 2026 — SAGE TRADING COLLECTIVE notice-filed in CA, MD, NJ, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
August 2026 — SAGE TRADING COLLECTIVE crossed $1B in regulatory AUM ($505.0M -> $1.22B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
98
April 2026 — SAGE TRADING COLLECTIVE (location n/a) is newly SEC-registered with $505.0M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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