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SOVEREIGN FINANCIAL GROUP, INC.
CRD 294314File 801-114529
APPROVED
Retail clients
Custody
Filing as of Jun 5, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.08B
Above cohort median (national)
Discretionary AUM
$1.06B
Non-discretionary $18.3M
Clients
1,312
4,486 accounts
Employees
31
Above cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jan 31, 2019
- Principal office
- 35 WEST BROAD STREET, SUITE 100, STAMFORD, CT, 06902
- Phone
- (888) 765-8180
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.08B
- Discretionary AUM
- $1.06B
- Non-discretionary AUM
- $18.3M
- Discretionary accounts
- 4,408
- Non-discretionary accounts
- 78
- Total accounts
- 4,486
- AUM per client
- $825K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 12 | $2.1M |
| Charitable organizations | 12 | $13.8M |
| High net worth individuals | 282 | $769.0M |
| Pension and profit sharing plans | Fewer than 5 | $3.1M |
| Individuals (other than high net worth individuals) | 1,006 | $294.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 26 | 31 | increased by5 |
| Apr 1, 2026 | Custody | No | Yes | |
| Apr 1, 2026 | Clients | 1,246 | 1,312 | increased by66 |
| Apr 1, 2026 | AUM | $882,702,145 | $1,082,552,821 | increased by$199,850,676 |
| Apr 1, 2026 | Accounts | 3,304 | 4,486 | increased by1,182 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 24 | 26 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 17 | 24 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 842 | 1,246 | increased by404 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $589,051,903 | $882,702,145 | increased by$293,650,242 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,957 | 3,304 | increased by1,347 |
| Apr 1, 2022 | Employees | 13 | 17 | increased by4 |
| Apr 1, 2022 | Clients | 802 | 842 | increased by40 |
| Apr 1, 2022 | AUM | $482,677,133 | $589,051,903 | increased by$106,374,770 |
| Apr 1, 2022 | Accounts | 1,990 | 1,957 | decreased by33 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SOVEREIGN FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SOVEREIGN FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.