Robert L. Borchardt

SAGE PRIVATE WEALTH GROUP

Oakbrook Terrace, IL 60181

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CRD#: 2092107

Professional summary

Robert Lloyd Borchardt is a registered financial advisor currently at SAGE PRIVATE WEALTH GROUP, LLC located in Oakbrook Terrace, Illinois.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Name of Business : SAGE Private Wealth Group Address: One Lincoln Centre 18W140 Butterfield Road Suite 1160,Oakbrook Terrace, IL Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Advisor Investment Related:No Start Date: 05/23/2016 Hours per month devoted to this business: 160 Hours per month devoted to this business during trading hours: 130 Description of duties: Client relationships

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Lloyd Borchardt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 6, 2016 - Present

SAGE PRIVATE WEALTH GROUP, LLC

Office #1: 18w140 Butterfield Road, Suite 1160, Oakbrook Terrace, IL 60181

RIA

CRD#: 173399

Oakbrook Terrace, IL

Past

January 2, 2009 - October 5, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OAKBROOK, IL

Past

May 7, 1999 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

OAKBROOK TERRACE, IL

Past

January 4, 1999 - October 5, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

OAKBROOK TERRACE, IL

Past

September 8, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 22, 1990 - September 21, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAGE PRIVATE WEALTH GROUP, LLC

CRD#: 173399 / SEC#: 801-119804

RIA

Registered Investment Advisory firm - (11/16/2020 Approved)

Illinois

Registered Investment Advisory firm - (3/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/6/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/7/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/9/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SAGE PRIVATE WEALTH GROUP, LLC

CRD#: 173399 / SEC#: 801-119804

RIA

Registered Investment Advisory firm - (11/16/2020 Approved)

Illinois

Registered Investment Advisory firm - (3/22/2021 Terminated)

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Contact information

Main Address

18w140 Butterfield Road, Suite 1160, Oakbrook Terrace, IL 60181

Mailing Address

Phone number

(630) 933-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE PRIVATE WEALTH GROUP, LLC FORM ADV PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,143
AUM (Assets Under Management)	$ 395,169,712

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Robert L. Borchardt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Lloyd Borchardt's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SAGE PRIVATE WEALTH GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/1998

Series 63

Date: 11/6/1990

SIE

Date: 10/1/2018

Series 31

Date: 2/7/2006

Series 7

Date: 10/19/1990

Series 8

Date: 10/9/1998

Current Firm

SAGE PRIVATE WEALTH GROUP, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE PRIVATE WEALTH GROUP, LLC

TRUST BUT VERIFY

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