David Lawrence Dewind

Sage, Rutty & CO., INC.

43 Years of Experience

3 DisclosuresBroker

View SEC Summary

Areas of Practice

Financial Planning & CoachingRetirement PlanningInvestment ManagementTax PlanningEstate Planning

Sage, Rutty & CO., INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

40 advisors

Number of Clients

7,702 clients

Average Client Portfolio

$392K average

Assets Under Management

$3.0B

Fee Structure

Minimum Investment:None

Location

100 Corporate Woods, Suite 300, Rochester, NY, 14623

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

December 2012

Closed-No Action

Customer Dispute

June 1992

Award / Judgment

Customer Dispute

September 1991

Award / Judgment

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Sage, Rutty & CO., INC.

June 2021 - Present · 4 yrs 8 mos

Sage, Rutty & CO., INC.Broker

January 2012 - Present · 14 yrs 1 mo

Previous Registrations

Brighton Securities CORP.Broker

August 1990 - January 2012 · 21 yrs 5 mos

Royce Park Investments, INC.Broker

December 1986 - August 1990 · 3 yrs 8 mos

J. W. Gant & Associates, INC.Broker

November 1984 - December 1986 · 2 yrs 1 mo

Kobrin Securities, INC.Broker

March 1984 - November 1984 · 8 mos

First Jersey Securities, INC.Broker

May 1982 - February 1984 · 1 yr 9 mos

State Registrations23 states

CACOCTFLGAILMAMDMEMINCNHNJNMNYOHPASCTNVAWAWIWV

AdvisorBrokerBoth

Exams

No exam information available for this advisor.