Colin M. Rogers

CAP STRAT

Oakbrook Terrace, IL 60181

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CRD#: 6655369

Professional summary

Colin Michael Rogers is a registered financial advisor currently at CAP STRAT located in Oakbrook Terrace, Illinois and SAGEVIEW ADVISORY GROUP, LLC located in Oakbrook Terrace, Illinois.

Colin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Colin has worked at 7 firms and has passed the Series 66, SIE 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 Colin Michael Rogers'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

August 30, 2024 - Present

CAP STRAT

Office #1: One Parkview Plaza Suite 620, Oakbrook Terrace, IL 60181

RIA

CRD#: 150091

Oakbrook Terrace, IL

Current

August 1, 2025 - Present

SAGEVIEW ADVISORY GROUP, LLC

Office #1: One Parkview Plaza Suite 117, Oakbrook Terrace, IL 60181

RIA

CRD#: 126777

Oakbrook Terrace, IL

Past

August 12, 2019 - December 31, 2021

CBIZ FINANCIAL SOLUTIONS, INC.

RIA

CRD#: 16678

Chicago, IL

Past

August 12, 2019 - September 7, 2022

CBIZ INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 286002

Chicago, IL

Past

August 13, 2018 - October 31, 2019

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

Chicago, IL

Past

August 13, 2018 - August 16, 2019

LPL FINANCIAL LLC

CRD#: 6413

CHICAGO, IL

Past

September 15, 2016 - August 2, 2018

EDWARD JONES

RIA

CRD#: 250

FOREST PARK, IL

Past

July 21, 2016 - August 2, 2018

EDWARD JONES

CRD#: 250

FOREST PARK, 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".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 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
(8/30/2024)

IAR

Michigan
(8/5/2025)

IAR

New York
(8/1/2025)

IAR

Texas
(8/1/2025)

IAR

Wisconsin
(8/5/2025)

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: 9/13/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2016

General Securities Representative Examination

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

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Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

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

Colin M. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Michael Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAGEVIEW ADVISORY GROUP, LLC

CBIZ FINANCIAL SOLUTIONS, INC.

CBIZ INVESTMENT ADVISORY SERVICES, LLC

GLOBAL RETIREMENT PARTNERS LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/13/2016

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2016

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

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