Fee-only adviser · Stamford, CT
Sovereign Financial Group, Inc.
Sovereign Financial Group, Inc. is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Stamford, Connecticut. On its latest Form ADV, filed June 5, 2026, it reports $1.1B in regulatory assets under management, 1,288 individual clients and 23 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 294314 · SEC file 801-114529 |
| Office | 35 West Broad Street Suite 100 Stamford, CT 06902 |
| Phone | (888) 765-8180 |
| Website | www.sovereignadvisorsolutions.com |
| Regulatory assets under management | $1.1B ($1.1B discretionary) |
| Individual clients | 1,006 non-high-net-worth, 282 high-net-worth |
| Financial planning clients | 1-10 |
| How it charges | Percentage of assets, Hourly, Fixed fee |
| Services | Financial planning, Portfolio management, Pension consulting, Selection of other advisers |
| Employees | 31 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | June 5, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It provides financial planning services, not only portfolio management.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Stamford
- Clear Harbor Asset Management, LLC $2.1B
- RZH Advisors LLC $2.4B
- Scholtz & Company, LLC $341M
- JC Capital Advisors Group LLC $263M
- Oak Financial Group Inc $177M
- Jackson, Grant Investment Advisers, Inc. $578M
See all 30 fee-only advisers in Stamford →
Nearby
- Old Greenwich 1 firm
- Riverside 1 firm
- Darien 17 firms
- Greenwich 22 firms
- Rowayton 2 firms
- Norwalk 4 firms
- New Canaan 6 firms
- Port Chester 1 firm
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