Sovereign Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$46,746,604
Total clients
51
49% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
51
Average account size
$916,600
About
Sovereign Financial Group provides investment advisory and financial planning services primarily to individual and high-net-worth clients. The firm offers three service programs—Investment, Legacy, and Wealth Management—that include portfolio management, financial planning, and, at higher service levels, coordination with tax, estate, and insurance professionals.
The firm typically manages accounts on a discretionary, percentage-of-assets-under-management retainer basis and documents each relationship with a written Investment Policy Statement tailored to the client’s objectives and risk tolerance. Sovereign conducts periodic reviews (at least annually), may recommend or use third-party subadvisors, and handles retirement-account rollovers while disclosing its ERISA fiduciary obligations when applicable.
Sovereign is notable among solo independent advisors for sponsoring a wrap-fee program (described in its ADV Appendix 1), a relatively uncommon offering for firms in this category. The firm also participates in an institutional custodian program and discloses receipt of associated benefits, limits new client intake primarily to its Wealth Management program (reflecting a practical scale threshold), and reports no disciplinary history or commission-based compensation.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
General retirement planning
Tax strategies for small businesses
Fee options
$0 - $3,000,000: 1.00% $3,000,001 - $5,000,000: 0.75% $5,000,001 - $10,000,000: 0.60% $10,000,001 - Negotiable: Negotiable $0 - $500,000: 1.50% $500,001 - $750,000: 1.25% $750,001+: 1.00% $0 - $325,000: 1.85% $325,001+: Negotiable
Account minimum: $750,000 Minimum fee: Wealth Management Program: Minimum $12,000 annually; Sovereign Legacy Program: Minimum $6,000 annually; Sovereign Investment Program: Minimum $1,200 annually Fee-only: All fees are retainer fees based on assets under management with minimum annual fees as noted above. Fees are payable quarterly in advance.
Main office location
Sovereign Financial Group
4509 Creedmoor Road, Suite 201
Raleigh NC 27612-3813, United States
Number of offices
1
Most active in
Sovereign Financial Group has reported serving >5 clients in these states in the last 12 months.
North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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