DD

David Lawrence Dewind

43 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
40 advisors
Number of Clients
7,702 clients
Average Client Portfolio
$392K average
Assets Under Management
$3.0B

Fee Structure

Minimum Investment:$10K
Financial Plan Fee:$3,000
Hourly Rate:$250 - $500/hr

Sage Rutty offers various programs with different fee structures. Financial planning fees are either a fixed $3,000 for a comprehensive plan or hourly rates ranging from $250 to $500. Wrap fee programs include management, performance reporting, and transaction fees. QRP program fees range from 0.05% to 1.00% of the account value, with an annual minimum fee of $250 to $1,000. Other program fees are listed as a percentage of assets under management. Fees may be negotiable based on account size and services provided.

Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate Planning
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Advisor Information

Office location

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

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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
Employment History
Current Registrations
Sage, Rutty & Co., INC.
June 2021 - Present · 4 yrs 7 mos
Sage, Rutty & Co., INC. Broker
January 2012 - Present · 14 yrs
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.