Peng Zhang

SAGEWATER WEALTH MANAGEMENT LLC

Los Angeles, CA 90049

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CRD#: 7970770

Professional summary

Peng Zhang, who also goes by Fred Zhang, is a registered financial advisor currently at SAGEWATER WEALTH MANAGEMENT LLC located in Los Angeles, California.

Peng is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Peng has worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred Zhang

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 Peng Zhang'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

March 10, 2025 - Present

SAGEWATER WEALTH MANAGEMENT LLC

Office #1: 11272 Montana Ave, Los Angeles, CA 90049

RIA

CRD#: 332662

Los Angeles, CA

Past

December 16, 2024 - December 31, 2024

SAGEWATER WEALTH MANAGEMENT LLC

RIA

CRD#: 332662

Beverly Hills, CA

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

California
(3/10/2025)

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 65

Date: 12/16/2024

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 6/22/2024

Securities Industry Essentials Examination

Current Firm

SAGEWATER WEALTH MANAGEMENT LLC

CRD#: 332662 / SEC#: 801-131150

RIA

Registered Investment Advisory firm - (3/13/2025 Terminated)

California

Registered Investment Advisory firm - (3/10/2025 Approved)

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).

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Contact information

Main Address

9461 Charleville Blvd #1048, Beverly Hills, CA 90212

Mailing Address

9461 Charleville Blvd #1048, Beverly Hills, CA 90212

Phone number

(310) 574-2866

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEWATER WEALTH MANAGEMENT ADV 2A (3/7/2025)

SAGEWATER WEALTH MANAGEMENT ADV 2B (2/2/2025)

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 4,182,000

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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Peng Zhang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peng Zhang's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAGEWATER WEALTH MANAGEMENT LLC

SAGEWATER WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/2024

SIE

Date: 6/22/2024

Current Firm

SAGEWATER WEALTH MANAGEMENT LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEWATER WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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