Brian S. Engel

SAWGRASS ASSET MANAGEMENT LLC

Chicago, IL

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CRD#: 4422844

Professional summary

Brian Steven Engel is a registered financial advisor currently at SAWGRASS ASSET MANAGEMENT LLC located in Chicago, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brian has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Steven Engel'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

December 11, 2024 - Present

SAWGRASS ASSET MANAGEMENT LLC

RIA

CRD#: 108831

Chicago, IL

Past

February 14, 2020 - August 16, 2023

SMEAD FUNDS DISTRIBUTORS, LLC

CRD#: 173734

PORTLAND, ME

Past

June 11, 2015 - June 19, 2019

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

September 20, 2010 - November 5, 2014

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

November 2, 2009 - September 20, 2010

GRAND DISTRIBUTION SERVICES, LLC

CRD#: 127700

MILWAUKEE, WI

Past

August 27, 2004 - September 4, 2008

NUVEEN SECURITIES, LLC

CRD#: 469

LOS ANGELES, CA

Past

August 16, 2002 - October 7, 2002

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

GLENDALE, CA

Past

October 11, 2001 - November 20, 2001

HELLER CAPITAL MARKETS GROUP, INC.

CRD#: 18434

CHICAGO, IL

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".

SAWGRASS ASSET MANAGEMENT LLC

CRD#: 108831 / SEC#: 801-55243

RIA

Registered Investment Advisory firm - (2/13/1998 Approved)

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

Florida
(2/24/2025)

IAR

Illinois
(12/11/2024)

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 66

Date: 11/25/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/23/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/27/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/9/2001

General Securities Representative Examination

Current Firm

SAWGRASS ASSET MANAGEMENT LLC

CRD#: 108831 / SEC#: 801-55243

RIA

Registered Investment Advisory firm - (2/13/1998 Approved)

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Contact information

Main Address

5000 Sawgrass Village Circle Suite 32, Ponte Vedra Beach, FL 32082

Mailing Address

Phone number

(904) 493-5500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAWGRASS 2025 AMENDED DISCLOSURE BROCHURE (7/11/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 2,262,955,025

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/23/2025	Cover Page	Report
03/06/2024	Cover Page	Report

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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Brian S. Engel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Steven Engel's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMEAD FUNDS DISTRIBUTORS, LLC

BMO INVESTMENT DISTRIBUTORS, LLC

MESIROW FINANCIAL, INC.

GRAND DISTRIBUTION SERVICES, LLC

NUVEEN SECURITIES, LLC

U.S. BANCORP ADVISORS, LLC

HELLER CAPITAL MARKETS GROUP, INC.

Primary Firm SEC Registration

SAWGRASS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/2024

Series 63

Date: 10/23/2001

SIE

Date: 10/1/2018

Series 3

Date: 10/27/2010

Series 7

Date: 10/9/2001

Current Firm

SAWGRASS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAWGRASS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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