9AT: SAGEGUARD FINANCIAL GROUP, LLC

SAGEGUARD FINANCIAL GROUP, LLC

SAGEGUARD FINANCIAL GROUP, LLC

ASPEN WEALTH MANAGEMENT

WIN FINANCIAL STRATEGIES

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THE OFFICES OF PATRICK J. WEHRLY

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Adviser Profile

As of Date	07/09/2026
Registration	SEC, Approved, 12/19/2022
Other registrations (10)	SEC, 120-Day Approval, 12/19/2022 California, Terminated, 07/03/2016 Indiana, Terminated, 06/06/2016 Kentucky, Terminated, 06/06/2016 Arizona, Terminated, 06/03/2016 Florida, Terminated, 06/03/2016 Maine, Terminated, 06/03/2016 Maryland, Terminated, 06/03/2016 Tennessee, Terminated, 06/03/2016 Texas, Terminated, 06/03/2016
Former registrations	SAGEGUARD FINANCIAL GROUP, LLC
ADV Location	GOODLETTSVILLE, TN, United States
Contact Info	(61 xxxxxxx
Websites

AUM^*	755,666,448 24%
of that, discretionary	200,000,000
Number of Employees	14 40%
of those in investment advisory functions	14 133%
Private Fund GAV^*	0
Avg Account Size	205,568 21%
% High Net Worth	5.31% 51%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

556M 476M 397M 318M 238M 159M 79M

2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

2 C. Client Tailored Services and Client Imposed Restrictions needs assessment and advice, retirement planning, cash now management, debt consolidation, capital needs assessments, educational planning, estate planning, and business planning. Services Limited to Specific Types of Investments SFG generally limits its money management to mutual funds, equities, bonds, fixed income and REITs. SFG may use other securities as well to help diversify a portfolio when applicable. Written Acknowledgement of Fiduciary Status When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule’s provisions, we must:
• Meet a professional standard of care when making investment recommendations (give prudent advice);

• Never put our financial interests ahead of yours when making recommendations (give loyal advice);
• Avoid misleading statements about conflicts of interest, fees, and investments;
• Follow policies and procedures designed to ensure that we give advice that is in your best interest;
• Charge no more than is reasonable for our services; and
• Give you basic information about conflicts of interest. SFG offers the same suite of services to all of its clients. However, specific client financial plans and their implementation are dependent upon the client Investment Policy Statement which outlines each client’s current situation (income, tax levels, and risk tolerance levels) and is used to construct a client specific plan to aid in the selection of a portfolio that matches restrictions, needs, and targets. Clients may impose restrictions on investing in certain securities or types of securities; however, if the restrictions prevent SFG from properly servicing the client account, or if the restrictions would require SFG to deviate from its standard suite of services, SFG reserves the right to end the relationship. D. Wrap Fee Programs E. Assets Under Management