John D. Principe
SAGEBROADVIEW WEALTH MANAGEMENT
Farmington, CT 06032-2837
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CRD#: 5802007
Professional summary
John David Principe, CFP® is a registered financial advisor currently at SAGEBROADVIEW WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. John has worked at 2 firms .
Biography
With financial planning representing both a humanistic art as well as an analytic science, David strikes the happy medium in his role as SageBroadview’s Senior Advisor. Joining us in 2007, David works closely with many of our clients, building personal relationships during their financial life planning. He also assists with technical support, data and analytical research, and overall practice management.
Before joining us, David’s global experiences took him from two years of teaching English with the Peace Corps in Guinea, West Africa, to retail management with Sears, Roebuck, & Co. in Maine, to seven years as a “jack of all trades” at a North Carolina software company … back to his family home in Vermont, to provide his father with end-of-life care. While serving as executor and trustee for two small family trusts during this period, David saw first-hand the importance of objective financial and estate planning, discovering his own affinity for assisting others facing similar challenges within their families.
After completing the rigorous program and field work required, he obtained his CERTIFIED FINANCIAL PLANNER™ certification in 2010. He holds a bachelor’s degree in English from the University of Colorado at Boulder. He and his wife Karla live in Connecticut with their two children, Erin and Zack, and their beagles Rosie and Brady.
Question & Answer
What are your service offerings?
Life Transitions
Small Business Planning
Retirement Planning
Social Security Planning
Education Planning
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Estate Planning
Insurance Planning
Tax Planning
Inheritance
Investment Planning
Do you have an area of expertise or specialization?
Business Owners
College/Education Planning
Corporate Executives
Estate & Generational Planning...
Retirement Plan Investment Adv...
What is your minimum asset requirement?
500K
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.
SageBroadview Tax, LLC (created 10/2020); Indirect Owner through SageBroadview, Inc.; primarily provides tax preparation services to businesses and individuals; Not investment related; Little or no time is spent on this activity.
CRS (Client Relationship Summary) - RIA
Click below to view John David Principe's 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®
CFP®
Start date: 2010
Experience
Current
June 18, 2010 - Present
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
Office #1: 10 Waterside Drive Suite 305, Farmington, CT 06032-2837RIA
CRD#: 126472
Farmington, CT
Past
June 18, 2010 - January 2, 2014
SAGE ADVISORY GROUP, LLC
RIA
CRD#: 121466
FARMINGTON, CT
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".
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
BROADVIEW FINANCIAL PLANNING, LLC | SAGEBROADVIEW WEALTH MANAGEMENT, LLC | SAGEBROADVIEW FINANCIAL PLANNING, LLC | DHAS FINANCIAL PLANNING, LLC
CRD#: 126472 / SEC#: 801-100506
RIA
Registered Investment Advisory firm - (7/16/2015 Approved)Connecticut
Registered Investment Advisory firm - (8/12/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (7/17/2015 Terminated)New Hampshire
Registered Investment Advisory firm - (11/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (7/28/2015 Terminated)New York
Registered Investment Advisory firm - (7/17/2015 Terminated)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
Connecticut(6/18/2010)
IAR
Massachusetts(10/27/2011)
IAR
New Jersey(1/31/2014)
Exams
Current Firm
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
BROADVIEW FINANCIAL PLANNING, LLC | SAGEBROADVIEW WEALTH MANAGEMENT, LLC | SAGEBROADVIEW FINANCIAL PLANNING, LLC | DHAS FINANCIAL PLANNING, LLC
CRD#: 126472 / SEC#: 801-100506
RIA
Registered Investment Advisory firm - (7/16/2015 Approved)Connecticut
Registered Investment Advisory firm - (8/12/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (7/17/2015 Terminated)New Hampshire
Registered Investment Advisory firm - (11/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (7/28/2015 Terminated)New York
Registered Investment Advisory firm - (7/17/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Waterside Drive Suite 305, Farmington, CT 06032-2837
Mailing Address
Phone number
(860) 606-3580
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 595 |
| AUM (Assets Under Management) | $ 350,339,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/16/2025 | ||
| 10/17/2024 | ||
| 09/18/2023 |
Red Flags
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Company Information
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
CRD#: 126472Farmington, CT 06032-2837TRUST BUT VERIFY
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Contact information
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