AS

Amy Carole Swearingen

43 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
39 advisors
Number of Clients
12,206 clients
Average Client Portfolio
$2.0M average
Assets Under Management
$25.0B

Fee Structure

Minimum Investment:$1M
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $10.0M0.35%
$10.0M - $25.0M0.25%
$25.0M - $50.0M0.20%
$50M+0.20%

Fees negotiable over $50 Million

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Financial Plan Fee:$2,500 - $15,000

Sage is compensated by a percentage of assets under management or a fixed fee, as negotiated in the client agreement. Fees are invoiced directly to clients, generally in advance on a quarterly basis. The brochure mentions negotiating fees based on circumstances. Clients are responsible for brokerage commissions, transaction fees, and other related costs. Wrap program clients pay an asset-based fee to the Sponsor Firm, who then pays Sage an advisory fee.

Areas of Practice
Investment Management
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Advisor Information

Office location

5900 Southwest Parkway, Building 1, Suite 100, Austin, TX, 78735-6202

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Sage Advisory Services Ltd CO
February 2020 - Present · 5 yrs 11 mos
Previous Registrations
Resolute Investment Distributors, INC.Broker
February 2018 - December 2019 · 1 yr 10 mos
American Beacon Advisors, INC.
April 2011 - December 2020 · 9 yrs 8 mos
Foreside Fund Services, LLCBroker
February 2011 - February 2018 · 7 yrs
Invesco Advisers, INC.
January 2010 - June 2010 · 5 mos
Invesco Aim Private Asset Management, INC.
July 2002 - January 2010 · 7 yrs 6 mos
Invesco Distributors, INC.Broker
October 1998 - June 2010 · 11 yrs 8 mos
Banc One Securities CorporationBroker
July 1996 - June 1998 · 1 yr 11 mos
First Interstate Investments,inc.Broker
September 1995 - July 1996 · 10 mos
Essex National Securities, INC.Broker
July 1994 - November 1995 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
June 1981 - July 1994 · 13 yrs 1 mo
State Registrations1 state
TX
Advisor
Exams
No exam information available for this advisor.
Amy Carole Swearingen - Financial Advisor | AdvisorDiscover