Sovereign Financial Services

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Client assets under management

$37,960,334

Clients

17% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Low

Average account size

$584,005

About

Sovereign Financial Services advises individual and high-net-worth clients, providing portfolio management and comprehensive financial planning services. The firm operates with two advisory professionals, manages roughly $38 million in client assets, and serves about 65 client relationships.

The brochure describes its investment services as tailored portfolio management for individuals, with ongoing account reviews and customized planning to align with client objectives and risk tolerance. It notes that the firm delivers both discretionary and consultative advice typical of supported advisory practices.

The firm discloses affiliations that are uncommon among peers: personnel are connected with an accounting practice and are licensed insurance agents, and those roles are incorporated into client service delivery. Combined with a small advisory team and limited client base, these additional accounting and insurance capabilities may lead to financial- and tax-focused coordination that differentiates the firm from similarly sized advisers.

Client services

Financial planning Portfolio management Selection of other advisers

Main office location

Sovereign Financial Services

21 New Britain Avenue, Suite 110

Rocky Hill CT 06067, United States

Number of offices

Most active in

Connecticut

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Is not active or affiliated with:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 860-257-4005

Advisors at this firm

Brendan D

Series 63, Series 65

Rocky Hill, CT

Sovereign Financial Services

Brendan Donahue is a financial advisor at Sovereign Financial Services with 14 years of industry experience. He holds Series 63 and Series 65 designations and has been with Ing Financial Partners, Inc. since 2011. Sovereign Financial Services provides investment advisory and financial planning primarily to individual and high-net-worth clients, offering portfolio management services with ongoing portfolio oversight and periodic account reviews. The firm also coordinates investment advice with tax and insurance considerations as part of its client services.

Mark M

Series 65

Rocky Hill, CT

Sovereign Financial Services

Mark Mazzone is a financial advisor with Sovereign Financial Services, holding a Series 65 designation and possessing 22 years of industry experience. He is also a 50% owner and member of D'Agostino & Mazzone, LLC, a CPA firm providing tax planning, tax compliance, and financial planning services. He has been with D'Agostino & Mazzone since 2000. Sovereign Financial Services offers investment advisory and financial planning services primarily to individual and high-net-worth clients. The firm emphasizes ongoing portfolio oversight and coordination of investment advice with tax and insurance considerations.

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