Unclaimed Profile

Neil Stewart Iii Frood

SAGE, RUTTY & CO., INC.·ROCHESTER, New York

SIE, Series 7, Series 65, Series 6618 years registeredSAGE, RUTTY & CO., INC.

100 CORPORATE WOODS, ROCHESTER, NY 14623CRD# 4483525Firm CRD# 3254

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Neil Stewart Iii Frood · ROCHESTER, NY

Registration

CRD #4483525 · SAGE, RUTTY & CO., INC. · 18 years registered

Brand Profile

Not yet started

Career History

SAGE, RUTTY & CO., INC.

Aug 2008 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 65

Series 66

Registration record

First registered · August 5, 2008

Years registered · 18

Disclosure History

2012Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SAGE, RUTTY & CO., INC.

CRD 3254 · SEC 801-35917

AUM

$2.5B

Regulatory assets under management

Employees

6,934 client accounts

Services offered by SAGE, RUTTY & CO., INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at SAGE, RUTTY & CO., INC. →

Introduction

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Frequently Asked Questions

What services does Neil Stewart Iii Frood offer?

Neil Stewart Iii Frood specializes in Financial Planning, Investment Management. Contact their office in ROCHESTER, New York for a consultation.

What are Neil Stewart Iii Frood's credentials?

Neil Stewart Iii Frood is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Neil Stewart Iii Frood located?

Neil Stewart Iii Frood is based in ROCHESTER, New York, working with SAGE, RUTTY & CO., INC.. Their office serves clients in the ROCHESTER metropolitan area and surrounding communities.

How does Neil Stewart Iii Frood charge for services?

Neil Stewart Iii Frood's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SAGE, RUTTY & CO., INC.?

SAGE, RUTTY & CO., INC. has approximately 39 employees and manages $2.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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